Violation Tracker Parent Company Summary

Parent Company Name: 
Och-Ziff Capital Management
Ownership Structure: 
publicly traded (ticker symbol OZM)
Headquartered in: 
New York
Major Industry: 
financial services
Specific Industry: 
investment management
Penalty total since 2000: 
$416,295,167
Number of records: 
3
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
competition-related offenses$412,045,1672
miscellaneous offenses$4,250,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
Foreign Corrupt Practices Act$412,045,1672
data submission deficiencies$4,250,0001
Notes: 

Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Associated Names: 

OCH ZIFF CAPITAL MGT GROUP; OZ MGT LP


Individual Penalty Records:

Click on the company or penalty amount for more information on each case.
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Companysort icon Primary Offense Type Year Agency Penalty Amount
OZ Management LP data submission deficiencies 2015 SEC $4,250,000
Och-Ziff Capital Management Group LLC Foreign Corrupt Practices Act 2016 DOJ_CRIMINAL $213,000,000
Och-Ziff Capital Management Group Foreign Corrupt Practices Act 2016 SEC $199,045,167
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