Defendant Name:
Douglas F. Drennan
Defendant Type:
Individual
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
Affiliations
- Current: Chief Compliance Officer at J.S. Oliver Capital Management, L.P. (From June 2011)
- Former: Investment Adviser at J.S. Oliver Capital Management, L.P. (2004—2008)
Violations Alleged
•
Sections 206(1), 206(2), 206(4) Advisers Act; Rule 206(4)-8 Advisers
Related Violations Alleged
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).
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of permanent duration)
First Resolution Date
05-Aug-2014
Headline Total Penalty and Disgorgement
$20,283,821
Other Defendants in Action: