Investment Adviser Charged For Demoting Whistleblower in SEC's First Anti-Retaliation Case

On June 16, 2014, the US Securities and Exchange Commission issued a cease and desist order and assessed a US$300,000 civil penalty, as part of a nearly US$2.2 million settlement, against a New York-based investment adviser and its owner in the first enforcement action based in part on provisions of the Dodd-Frank Wall Street Reform and Consumer ... (more)



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