Violation Tracker Individual Record
Company:ICP Asset Management
Date:September 7, 2012
Offense Group:financial offenses
Primary Offense:investor protection violation
New York-based investment advisory firm ICP Asset Management and its founder and president Thomas C. Priore agreed to settle SEC charges that they defrauded several collateralized debt obligations (CDOs) they managed.
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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