Violation Tracker Individual Record

Company: 
Oaktree Capital Management, LLC
Current Parent Company: 
Oaktree Capital Management
Penalty: 
$345,701
Year: 
2005
Date: 
May 19, 2005
Offense Group: 
financial offenses
Primary Offense: 
investor protection violation
Secondary Offense: 
securities issuance or trading violation
Violation Description: 

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
HQ Country of Parent: 
USA
HQ State of Parent: 
California
Ownership Structure of Parent: 
publicly traded
Major Industry of Parent: 
private equity (including portfolio companies)
Specific Industry of Parent: 
private equity (including portfolio companies)
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.