0001398344-14-000145.txt : 20140121
0001398344-14-000145.hdr.sgml : 20140120
20140121160749
ACCESSION NUMBER: 0001398344-14-000145
CONFORMED SUBMISSION TYPE: TA-1/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20140109
DATE AS OF CHANGE: 20140121
EFFECTIVENESS DATE: 20140119
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Altegris Portfolio Management, Inc.
CENTRAL INDEX KEY: 0001462774
IRS NUMBER: 841008601
STATE OF INCORPORATION: AR
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: TA-1/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 084-06356
FILM NUMBER: 14538127
BUSINESS ADDRESS:
STREET 1: 1202 BERGEN PARKWAY SUITE 212
CITY: EVERGREEN
STATE: CO
ZIP: 80439
BUSINESS PHONE: 858-875-8725
MAIL ADDRESS:
STREET 1: 1202 BERGEN PARKWAY SUITE 212
CITY: EVERGREEN
STATE: CO
ZIP: 80439
TA-1/A
1
primary_doc.xml
X0304
TA-1/A
LIVE
0001462774
084-06356
SEC
Altegris Portfolio Management, Inc. (d/b/a Altegris Funds)
340216
1200 Prospect Street
Suite 400
La Jolla
CA
CALIFORNIA
92037
false
858-459-7040
false
true
false
false
Not Applicable
true
Altegris Holdings Inc.
Direct Parent
AssetMark Holdings Inc.
Indirect Owner (holding company)
AqGen Liberty Acquisition Inc.
Indirect Owner (holding company)
AqGen Liberty Management I Inc.
Indirect Owner (holding company)
AqGen Liberty Holdings, LLC
Indirect Parent Company
false
false
false
false
false
false
false
false
false
false
true
CRT Capital Group LLC
Cease and desist
2007-11-06
State of New Hampshire
Firm did not file annual audit in a timely manner and did not timely pay penalty
$1075 penalty paid
CRT Capital Group LLC
Civil and Administrative penalties/ fines
1998-07-28
Conneticut Department of Banking
Consent order alleged firm had employed unregistered agents
Monetary fine
false
true
CRT Capital Group LLC
Principal Sanction
1998-07-28
Conneticut Department of Banking
Consent order alleged firm had employed unregistered agents
Monetary fine
false
false
true
Altegris Investments Inc.
Censure
2003-04-04
NASD
Hedge fund sales material that did not independently provide full disclosure of risks; failure to supervise
Monetary fine and censure
true
Altegris Investments Inc.
Censure
2003-04-04
NASD
hedge fund sales material that did not independently provide full disclosure of risks; failure to supervise
Monetary fine and censure
CRT Capital Group LLC
Censure
2010-12-21
FINRA
Trace reporting violations; books and records inaccuracies
Monetary fine and censure
CRT Capital Group LLC
Censure
2009-07-13
FINRA
Incorrect order tickets
Monetary fine and censure
CRT Capital Group LLC
Censure
2007-11-14
NYSE ARCA Equities Inc.
Did not maintain continuous two sided Q orders in the single security in which the firm was a registered market maker
Monetary fine and censure
CRT Capital Group LLC
Censure
2006-08-04
NASD
Permitted investment banking personnel to have influence or control over the compensatory evaluation of research analysts
Monetary fine and censure
CRT Capital Group LLC
Civil and Administrative penalties/ fines
2005-07-13
NASD
Late OTC equity transaction reporting
Monetary fine
CRT Capital Group LLC
Censure
2004-03-26
NASD
Trade reporting violations
Monetary fine and censure
CRT Capital Group LLC
Censure
2002-10-16
NASD
Late FIPS transaction reporting
Monetary fine and censure
CRT Capital Group LLC
Civil and Administrative penalties/ fines
2001-06-14
NASD
Violation of Rule 15C2-11(A)
Monetary fine
CRT Capital Group LLC
Censure
2000-05-10
NASD
Inadequate written supervisory procedures related to trade reporting
Monetary fine and censure
CRT Capital Group LLC
Censure
1999-02-08
NASD
FIPS reporting violations; inadequate written supervisory procedures
Monetary fine and censure
CRT Capital Group LLC
Censure
1998-11-01
NASD
Trade reporting and recordkeeping violations and inadequate written supervisory procedures related to such
Monetary fine and censure
false
false
false
false
false
false
Jon C. Sundt
President
858-459-7040
2014-01-09