Defendant Name:
OZ Management, LP
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Och-Ziff Capital Management Group LLC
SIC Code:
6282
CUSIP:
67551U10
Document Reference:
34-75445
Document Details
Legal Case Name
In the Matter of OZ Management, LP
Document Name
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
Document Date
14-Jul-2015
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
On July 14, 2015, the SEC instituted settled cease-and-desist proceedings against OZ Management, LP. According to the SEC: "These proceedings arise from OZ Management, a registered investment adviser, providing inaccurate trade data to four of its prime brokers. The inaccurate data became part of the brokers' required books and records and blue sheet submissions and concerned thousands of sales and millions of shares."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Disgorgement
Individual:
$214,380.00
Shared:
Civil Penalty
Individual:
$4,250,000.00
Shared:
Pre-Judgment Interest
Individual:
$29,047.00
Shared:
