Defendant Name: Ian O. Mausner

Defendant Type: Individual

Document Reference: id649bpm

Document Details

Legal Case Name In the Matter of J.S. Oliver Capital, Management, L.P., Ian O. Mausner, and Douglas F. Drennan
Document Name Initial Decision
Document Date 05-Aug-2014
Document Format Administrative Proceeding
File Number 3-15446
Administrative Law Judge Brenda P. Murray
Allegation Type Investment Advisers/Investment Companies
Document Summary

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
Fair Funds
Bars:
  • Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of permanent duration)
Monetary Penalties:

Disgorgement

Individual:     Shared:     $482,381.00
Shared with: J.S. Oliver Capital Management, L.P.; Douglas F. Drennan

Civil Penalty

Individual:     $3,040,000.00 Shared:    

Pre-Judgment Interest

(Penalty was noted in document, but no amount was listed)

Related Documents:

33-9446 30-Aug-2013 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, Sections 203(e), 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
33-10639 16-May-2019 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, Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f), and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940

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In the Matter of Instinet, LLC
Instinet, LLC