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SEC brings first Dodd-Frank whistleblower anti-retaliation case
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Corporate Governance, Investor Protections
Tuesday, June 17, 2014
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An Albany, N.Y.-based hedge fund advisory firm will pay more than $2 million to settle Securities and Exchange Commission claims that the company engaged in prohibited principal transactions and then retaliated against an employee who reported the activity to the agency. The case marks the first time the SEC has brought an action under Dodd-Frank’s whistleblower anti-retaliation provisions. The SEC also charged the firm’s owner with causing the improper principal transactions.
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