Defendant Name: Oaktree Capital Management, L.P.

Defendant Type: Subsidiary of Public Company

Document Reference: 2024-148_3-22179

Document Details

Legal Case Name In the Matter of Oaktree Capital Management, L.P.
Document Name SEC Levies More Than $3.8 Million in Penalties in Sweep of Late Beneficial Ownership and Insider Transaction Reports
Document Date 25-Sep-2024
Document Format Administrative Proceeding
File Number 3-22179
Allegation Type Issuer Reporting and Disclosure
Document Summary On September 25, 2024, the SEC "announced settled charges against 23 entities and individuals for failures to timely report information about their holdings and transactions in public company stock."

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
Monetary Penalties:

Civil Penalty

Individual:     $375,000.00 Shared:    

Related Documents:

34-101163 25-Sep-2024 Administrative Proceeding
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
On September 25, 2024, the SEC instituted settled cease-and-desist proceedings against Oaktree Capital Management, L.P., stating: "These proceedings arise out of violations of the beneficial ownership reporting requirements of the federal securities laws."