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Censure, Sanctions and Cease-and-Desist Order Against Investment Advisors for Undisclosed Conflict of Interest

In the Matter of MPI Investment Management, David Pequet and Ashok Shende, Respondents

2000
$110,833

Respondents were a Hinsdale, Illinois investment adviser and two principals thereof. The SEC found that they made agreements with departing partners to compensate them for their interests through directed commissions. Without disclosing the conflict, the trades of a large institutional client were simply directed to the former partners’ brokerage firms.

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Censure, Sanctions and Cease-and-Desist Order Against Investment Advisors for Undisclosed Conflict of Interest

In the Matter of MPI Investment Management, David Pequet and Ashok Shende, Respondents

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