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Violation Tracker Individual Record

Company: Black Diamond Capital Appreciation Fund, L.P. et al.
Penalty: $2,500,000
Year: 2015
Date: June 10, 2015
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Black Diamond investment management companies along with their owner, were ordered to pay $2.5 million by the Bureau of Securities, who found that the companies misrepresented the investments they sold and misused investors' funds. There was a parallel federal investigation that had filed criminal and civil charges.
Level of Government: state
Action Type: agency action
Agency: New Jersey Bureau of Securities
Civil or Criminal Case: civil
Facility State: New Jersey
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.