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Violation Tracker Individual Record

Company: Pentagon Capital Management
Penalty: $98,600,000
Year: 2012
Date: March 30, 2012
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Violation Description: A federal judge in the Southern District of New York entered a final judgment in favor of the SEC ordering total monetary relief of $98.6 million from Pentagon Capital Management, a United Kingdom based hedge fund adviser, and its chief executive officer, Lewis Chester.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.