SEC
Whistleblower
Advocates

September 16, 2014

RA Capital Management, LLC

Market Manipulation

SANCTION AMOUNT: $3,624,360

Defendants: RA Capital Management, LLC

Settlement of allegations of seventeen violations of Rule 105 of federal securities laws, which prohibits short selling an equity security during a restricted period in advance of a public offering and then purchasing the security in the offering. Alleged profits of $2,646,395.21.

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