Defendant Name: OZ Management, LP

Defendant Type: Subsidiary of Public Company
Public Company Parent: Och-Ziff Capital Management Group LLC
SIC Code: 6282
CUSIP: 67551U10

Initial Case Details

Legal Case Name In the Matter of OZ Management, LP
First Document Date 14-Jul-2015
Initial Filing Format Administrative Action
File Number 3-16686
Allegation Type Broker Dealer

Violations Alleged

Rule 105 Regulation M

Related Violations Alleged

OZ Management, LP is alleged to have caused an unidentified individual or entity's violation of Section 17(a) Exchange Act; Rule 17a-3(a)(3), 17a-25 Exchange Act.


First Resolution Date 14-Jul-2015
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

2015-145 14-Jul-2015 Press Release--Administrative Proceeding
OZ Management LP Admits Providing Inaccurate Data, Impacting Brokers' Records and "Blue Sheets"
On July 14, 2015, the SEC announced that it "charged OZ Management LP with providing inaccurate trade data to four prime brokers, causing inaccuracies in the brokers' books and records and in data provided to the SEC in investigations."
34-75445 14-Jul-2015 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
On July 14, 2015, the SEC instituted settled cease-and-desist proceedings against OZ Management, LP. According to the SEC: "These proceedings arise from OZ Management, a registered investment adviser, providing inaccurate trade data to four of its prime brokers. The inaccurate data became part of the brokers' required books and records and blue sheet submissions and concerned thousands of sales and millions of shares."