Defendant Name: Brian Williamson

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Brian Williamson
First Document Date 20-Aug-2013
Initial Filing Format Administrative Action
File Number 3-15430
Allegation Type Investment Advisers/Investment Companies

Affiliations

Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
Securities Act
Sec 17(a) (Not specified)
Other
Section 206(4) Advisers Act; Rule 206(4)-8 Advisers Act

Related Violations Alleged

Brian Williamson is alleged to have aided and abetted Oppenheimer Alternative Investment Management, LLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Brian Williamson is alleged to have aided and abetted Oppenheimer Asset Management Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Brian Williamson is alleged to have caused Oppenheimer Alternative Investment Management, LLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Brian Williamson is alleged to have caused Oppenheimer Asset Management Inc.'s violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Brian Williamson is alleged to have aided and abetted Oppenheimer Alternative Investment Management, LLC's violation of Section 206(4), Rule 206(4)-8 Advisers Act (willfully/knowingly).
Brian Williamson is alleged to have aided and abetted Oppenheimer Asset Management Inc.'s violation of Section 206(4), Rule 206(4)-8 Advisers Act (willfully/knowingly).
Brian Williamson is alleged to have caused Oppenheimer Alternative Investment Management, LLC's violation of Section 206(4), Rule 206(4)-8 Advisers Act.
Brian Williamson is alleged to have caused Oppenheimer Asset Management Inc.'s violation of Section 206(4), Rule 206(4)-8 Advisers Act.

Resolutions

Bars:
First Resolution Date 22-Jan-2014

Related Documents:

33-9443 20-Aug-2013 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing
33-9515 22-Jan-2014 Administrative Proceeding
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940

Related Actions:

In the Matter of Oppenheimer Asset Management Inc. and Oppenheimer Alternative Investment Management, LLC
In the Matter of Brian Williamson, Esq.