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Violation Tracker Individual Record

Company: Perceptive Advisors LLC
Penalty: $1,500,000
Year: 2022
Date: September 6, 2022
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: failing to disclose conflicts of interest regarding its personnel's ownership of sponsors of special purpose acquisition companies (SPACs) into which Perceptive advised its clients to invest
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
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.