Defendant Name:
Ian O. Mausner
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
- Former: CEO at J.S. Oliver Capital Management, L.P.
- Former: President at J.S. Oliver Capital Management, L.P.
- Former: Chief Compliance Officer at J.S. Oliver Capital Management, L.P.
- Current: Manager at J.S. Oliver Capital Management, L.P.
- Former: Head Portfolio Manager at J.S. Oliver Capital Management, L.P.
- Current: Founder at J.S. Oliver Capital Management, L.P.
- Current: Controlling Shareholder at J.S. Oliver Capital Management, L.P.
Violations Alleged
•
Sec 17(a) (Not specified)
•
Sections 206(1), 206(2), 206(4), 207 Advisers Act; Rule 206(4)- 8 Advisers Act
Related Violations Alleged
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).
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)
- 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 (of unspecified duration)
First Resolution Date
05-Aug-2014
Headline Total Penalty and Disgorgement
$20,283,821
Other Defendants in Action:
