Defendant Name:
Raphael Licht
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Taberna Capital Management, LLC Michael Fralin and Raphael Licht
First Document Date
02-Sep-2015
Initial Filing Format
Administrative Action
File Number
3-16776
Allegation Type
Investment Advisers/Investment Companies
Affiliations
- Former: Director—Chief Legal Officer and Chief Administrative Officer at RAIT Financial Trust (December 2006—February 2009)
- Former: COO at RAIT Financial Trust (February 2009—December 2014)
Violations Alleged
Related Violations Alleged
Resolutions
Bars:
- Bar on practicing before the SEC as an Attorney for 2 years
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 2 years
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter for 2 years
First Resolution Date
02-Sep-2015
Headline Total Penalty and Disgorgement
$75,000
Other Defendants in Action:
