Defendant Name:
Joel M. Frank
Defendant Type:
Individual
Document Reference:
34-78989
Document Details
Legal Case Name
In the Matter of Och-Ziff Capital Management Group LLC, OZ Management LP, Daniel S. Och and Joel M. Frank
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to 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, Imposing Remedial Sanctions and a Cease-and-Desist Order, and Notice of Hearing
Document Date
29-Sep-2016
Document Format
Administrative Proceeding
Allegation Type
Foreign Corrupt Practices Act
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Other Compliance Related Undertaking
Monetary Penalties:
Civil Penalty
Individual:
$35,000.00
Shared:
Other Defendants in Action:
