Violation Tracker Individual Record
Company:Taberna Capital Management
Date:September 2, 2015
Offense Group:financial offenses
Primary Offense:investor protection violation
An investment advisory firm in Philadelphia has agreed to pay more than $21 million to settle charges that it fraudulently retained fees belonging to collateralized debt obligation clients.
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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