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Violation Tracker Individual Record

Company: DB Investment Managers, Inc.
Penalty: $33,159
Year: 2005
Date: May 19, 2005
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Violation Description: Three hedge fund advisers -- Galleon Management, L.P., Oaktree Capital Management, LLC and DB Investment Managers, Inc. -- agreed to pay a total of nearly $2.4 million to settle allegations of violating Rule 105 of Regulation M.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.