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