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
•
Sec 17(a) (Not specified)
•
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
Other Defendants in Action: