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Violation Tracker Individual Record

Company: Weiss Asset Management LP
Penalty: $6,899,004
Year: 2022
Date: June 14, 2022
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Investment advisory firm Weiss Asset Management LP has agreed to pay approximately $6.9 million to settle charges that it violated the federal securities laws when it unlawfully purchased stock in seven public offerings after selling short those same stocks.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.