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
Allegation Type
Issuer Reporting and Disclosure
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Monetary Penalties:
Civil Penalty
Individual:
$2,000,000.00
Shared:
Other Defendants in Action:
