SEC Charges Company for First Time Under Agency Rule Protecting WhistleBlowers

Ward Schumaker

The Securities and Exchange Commission on Monday charged a company with retaliating against an employee who blew the whistle on alleged misconduct, a first under the agency’s new authority to bring such cases. The SEC charged hedge-fund advisory firm Paradigm Capital Management Inc. with engaging in prohibited principal transactions and then retaliating against the former head trader who had reported the activity to the SEC.


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This entry was published on June 17, 2014 at 9:00 pm and is filed under Uncategorized. Bookmark the permalink. Follow any comments here with the RSS feed for this post.

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