Defendant Name:
Oaktree Capital Management, L.P.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Brookfield Corporation
SIC Code:
6282
CUSIP:
11271J10
Document Reference:
34-101163
Document Details
Legal Case Name
In the Matter of Oaktree Capital Management, L.P.
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
25-Sep-2024
Document Format
Administrative Proceeding
Allegation Type
Other
Document Summary
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."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Civil Penalty
Individual:
$375,000.00
Shared:
