Monthly Archives: April 2015

$600,000 to Man in Whistleblower Retaliation Case | Compliance Week

In June 2014, the Securities and Exchange Commission charged an Albany, N.Y.-based hedge fund advisory firm, Paradigm Capital Management, with engaging in prohibited principal transactions and then retaliating against the employee who reported the trading activity to the Commission…. On Tuesday, the SEC announced that the whistleblower will receive a maximum whistleblower award payment of 30 percent of the amounts…

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