Defendant Name: Seth B. Taube

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Medley Management Inc., Brook B. Taube and Seth B. Taube
First Document Date 28-Apr-2022
Initial Filing Format Administrative Action
File Number 3-20836
Allegation Type Issuer Reporting and Disclosure

Affiliations

Violations Alleged

Exchange Act
• Rule 13a-14
Other
• Sections 206(2), 206(4) Advisers Act; Rule 206(4)-8 Advisers Act

Related Violations Alleged

Seth B. Taube is alleged to have caused Medley Management Inc.'s violation of Rule 12b-20 of the Exchange Act (willfully/knowingly).
Seth B. Taube is alleged to have caused Medley Management Inc.'s violation of Sec 13(a) of the Exchange Act (willfully/knowingly).
Seth B. Taube is alleged to have caused Medley Management Inc.'s violation of Rule 13a-1 of the Exchange Act (willfully/knowingly).
Seth B. Taube is alleged to have caused Medley Management Inc.'s violation of Rule 13a-11 of the Exchange Act (willfully/knowingly).
Seth B. Taube is alleged to have caused Medley Management Inc.'s violation of Rule 13a-13 of the Exchange Act (willfully/knowingly).
Seth B. Taube is alleged to have caused Medley Management Inc.'s violation of Rule 13a-15 of the Exchange Act (willfully/knowingly).
Seth B. Taube is alleged to have caused Medley Management Inc.'s violation of Sec 14(a) of the Exchange Act (willfully/knowingly).
Seth B. Taube is alleged to have caused Medley Management Inc.'s violation of Rule 14a-9 of the Exchange Act (willfully/knowingly).
Seth B. Taube is alleged to have caused Medley Management Inc.'s violation of Sec 17(a)(2) of the Securities Act (willfully/knowingly).
Seth B. Taube is alleged to have caused Medley Management Inc.'s violation of Sec 17(a)(3) of the Securities Act (willfully/knowingly).

Resolutions

First Resolution Date 28-Apr-2022
Headline Total Penalty and Disgorgement $2,000,000

Related Documents:

33-11057 28-Apr-2022 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, and Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

Other Defendants in Action:

Medley Management Inc.
Brook B. Taube