Amadeus Wealth Alternatives, Inc.

Allegations: IN TWO SEPARATE INSTANCES IN 2015, AMADEUS, A REGISTERED INVESTMENT ADVISER, EXERCISED PROXY VOTING AUTHORITY WITH RESPECT TO CLIENT SECURITIES HELD IN A TOTAL OF 20 CLIENT ACCOUNTS, NOTWITHSTANDING AMADEUS'S REPRESENTATIONS IN ITS FORMS ADV AND WRITTEN ADVISORY AGREEMENTS THAT IT DID NOT EXERCISE VOTING AUTHORITY OVER CLIENT SECURITIES. IN DOING SO, AMADEUS VIOLATED SECTIONS 206(2) AND SECTION 207 OF THE ADVISERS ACT. Status: Final Summary: RESPONDENT WILL PAY A CIVIL MONETARY SETTLEMENT TO THE SECURITIES EXCHANGE COMMISSION.

Allegations: IN TWO SEPARATE INSTANCES IN 2015, AMADEUS, A REGISTERED INVESTMENT ADVISER, EXERCISED PROXY VOTING AUTHORITY WITH RESPECT TO CLIENT SECURITIES HELD IN A TOTAL OF 20 CLIENT ACCOUNTS, NOTWITHSTANDING AMADEUS'S REPRESENTATIONS IN ITS FORMS ADV AND WRITTEN ADVISORY AGREEMENTS THAT IT DID NOT EXERCISE VOTING AUTHORITY OVER CLIENT SECURITIES. IN DOING SO, AMADEUS VIOLATED SECTIONS 206(2) AND SECTION 207 OF THE ADVISERS ACT. Status: Final Sanction Detail: RESPONDENT SHALL PAY A CIVIL MONETARY PENALTY IN THE AMOUNT OF $40,000 TO THE SECURITIES AND EXCHANGE COMMISSION FOR TRANSFER TO THE GENERAL FUND OF THE UNITED STATES TREASURY, SUBJECT TO SECTION 21F(G)(3) OF THE SECURITIES EXCHANGE ACT OF 1934. PAYMENTS SHALL BE MADE IN INSTALLMENTS, ACCORDING TO THE FOLLOWING SCHEDULE: AN INITIAL PAYMENT OF $8,000 DUE WITHIN 10 DAYS AFTER THE ENTRY OF THIS ORDER; AN ADDITIONAL PAYMENT OF $8,000 DUE WITHIN 90 DAYS AFTER THE ENTRY OF THIS ORDER; AN ADDITIONAL PAYMENT OF $8,000 DUE WITHIN 180 DAYS AFTER THE ENTRY OF THIS ORDER; AN ADDITIONAL PAYMENT OF $8,000 DUE WITHIN 270 DAYS AFTER THE ENTRY OF THIS ORDER; AN ADDITIONAL PAYMENT OF $8,000, PLUS ANY OUTSTANDING BALANCE OF THE CIVIL PENALTY AMOUNT AND POST ORDER INTEREST ACCRUED, DUE WITHIN 360 DAYS AFTER THE ENTRY OF THIS ORDER. Summary: RESPONDENT WILL PAY A CIVIL MONETARY SETTLEMENT TO THE SECURITIES EXCHANGE COMMISSION.