Violation Tracker Individual Record

Company: 
Lime Rock Management
Penalty: 
$75,000
Year: 
2017
Date: 
January 17, 2017
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Violation Description: 

The Securities and Exchange Commission announced that 10 investment advisory firms agreed to pay penalties ranging from $35,000 to $100,000 to settle charges that they violated the SEC's investment adviser pay-to-play rule by receiving compensation from public pension funds within two years after campaign contributions made by the firms' associates.

Level of Government: 
federal
Action Type: 
agency action
Agency: 
Securities and Exchange Commission
Civil or Criminal Case: 
civil
Source Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.