Defendant Name: Seth B. Taube

Defendant Type: Individual

Document Reference: 33-11057

Document Details

Legal Case Name In the Matter of Medley Management Inc., Brook B. Taube and Seth B. Taube
Document Name 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, and Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date 28-Apr-2022
Document Format Administrative Proceeding
File Number 3-20836
Allegation Type Issuer Reporting and Disclosure
Document Summary

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
Censured
Monetary Penalties:

Civil Penalty

Individual:     $2,000,000.00 Shared:    

Other Defendants in Action: