Defendant Name: J.S. Oliver Capital Management, L.P.

Defendant Type: Other

Initial Case Details

Legal Case Name In the Matter of J.S. Oliver Capital Management, L.P., Ian O. Mausner, and Douglas F. Drennan
First Document Date 30-Aug-2013
Initial Filing Format Administrative Action
File Number 3-15446
Allegation Type Investment Advisers/Investment Companies

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a) (Not specified)
Other
• Sections 204, 206(1), 206(2), 206(4), 207 Investment Advisers Act; Rule 204-1(a)(2), 204-1(a)(3), 204-2(a)(7), 206(4)-7, 206(4)-8 Investment Advisers Act
Additionally, Douglas F. Drennan is alleged to have aided and abetted J.S. Oliver Capital Management, L.P.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Douglas F. Drennan is alleged to have caused J.S. Oliver Capital Management, L.P.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Douglas F. Drennan is alleged to have aided and abetted J.S. Oliver Capital Management, L.P.'s violation of Sec 17(a)(1) of the Securities Act (willfully/knowingly).
Douglas F. Drennan is alleged to have caused J.S. Oliver Capital Management, L.P.'s violation of Sec 17(a)(1) of the Securities Act.
Douglas F. Drennan is alleged to have aided and abetted J.S. Oliver Capital Management, L.P.'s violation of Sec 17(a)(2) of the Securities Act (willfully/knowingly).
Douglas F. Drennan is alleged to have caused J.S. Oliver Capital Management, L.P.'s violation of Sec 17(a)(2) of the Securities Act.
Ian O. Mausner is alleged to have aided and abetted J.S. Oliver Capital Management, L.P.'s violation of Section 204, Rule 204-1(a)(2), 204-2(a)(3), 204-2(a)(7), 206(4)-7 Advisers Act (willfully/knowingly).
Ian O. Mausner is alleged to have caused J.S. Oliver Capital Management, L.P.'s violation of Section 204, Rule 204-1(a)(2), 204-2(a)(3), 204-2(a)(7), 206(4)-7 Advisers Act.
Douglas F. Drennan is alleged to have aided and abetted J.S. Oliver Capital Management, L.P.'s violation of Sections 206(1), 206(2), 206(4), 207, Rule 206(4)- 8 Advisers Act (willfully/knowingly).
Douglas F. Drennan is alleged to have caused J.S. Oliver Capital Management, L.P.'s violation of Sections 206(1), 206(2), 206(4), 207, Rule 206(4)- 8 Advisers Act.

Resolutions

First Resolution Date 05-Aug-2014
Headline Total Penalty and Disgorgement $14,975,000

Related Documents:

33-9446 30-Aug-2013 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing
id649bpm 05-Aug-2014 ALJ Initial Decision
Initial Decision
33-10639 16-May-2019 Administrative Proceeding
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940

Other Defendants in Action:

Ian O. Mausner
Douglas F. Drennan

Related Actions:

In the Matter of Instinet, LLC
Instinet, LLC