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
- Former: Undetermined at Oppenheimer & Co. Inc. (December 2005—December 2011)
- Former: Undetermined at Oppenheimer Asset Management Inc. (December 2005—December 2011)
- Former: Managing Director at Oppenheimer Alternative Investment Management, LLC (December 2005—December 2011)
- Former: Portfolio Manager at Oppenheimer Alternative Investment Management, LLC (December 2005—December 2011)
Violations Alleged
•
Sec 17(a) (Not specified)
•
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:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 2 years
- 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 for 2 years
First Resolution Date
22-Jan-2014
Headline Total Penalty and Disgorgement
$100,000
