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Violation Tracker Individual Record

Company: Perry Corp.
Penalty: $150,000
Year: 2009
Date: July 21, 2009
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: securities issuance or trading violation
Violation Description: New York-based investment adviser Perry Corp. agreed to pay $150,000 to settle allegations that it failed to report that it had purchased substantial stock in a public company in order to vote them in favor of a merger from which Perry stood to profit.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.