Defendant Name: Oaktree Capital Management, L.P.

Defendant Type: Subsidiary of Public Company
Public Company Parent: Brookfield Corporation
SIC Code: 6282
CUSIP: 11271J10

Initial Case Details

Legal Case Name In the Matter of Oaktree Capital Management, L.P.
First Document Date 25-Sep-2024
Initial Filing Format Administrative Action
File Number 3-22179
Allegation Type Issuer Reporting and Disclosure

Violations Alleged

Other
• Sections 16(a), 13(d) Exchange Act; Rules 16a-3, 13d-2 Exchange Act

Resolutions

First Resolution Date 25-Sep-2024
Headline Total Penalty and Disgorgement $375,000

Related Documents:

34-101163 25-Sep-2024 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 September 25, 2024, the SEC instituted settled cease-and-desist proceedings against Oaktree Capital Management, L.P., stating: "These proceedings arise out of violations of the beneficial ownership reporting requirements of the federal securities laws."
2024-148_3-22179 25-Sep-2024 Press Release--Administrative Proceeding
SEC Levies More Than $3.8 Million in Penalties in Sweep of Late Beneficial Ownership and Insider Transaction Reports
On September 25, 2024, the SEC "announced settled charges against 23 entities and individuals for failures to timely report information about their holdings and transactions in public company stock."