Violation Tracker Individual Record
Company:DB Investment Managers, Inc.
Date:May 19, 2005
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:securities issuance or trading violation
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:
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