Defendant Name:
Michael Fralin
Defendant Type:
Individual
Document Reference:
34-75814
Document Details
Legal Case Name
In the Matter of Taberna Capital Management, LLC, Michael Fralin and Raphael Licht
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 4C, 15(b), and 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, Section 9(b) of the Investment Company Act of 1940, and Rule 102(e) of the Commission's Rules of Practice, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders
Document Date
02-Sep-2015
Document Format
Administrative Proceeding
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Other Compliance Related Undertaking
Bars:
- Bar on practicing before the SEC as an Attorney for 5 years
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 5 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 5 years
Monetary Penalties:
Civil Penalty
Individual:
$100,000.00
Shared:
Other Defendants in Action:
