SEC
Whistleblower
Advocates

February 19, 2015

VCAP Securities, LLC, Brett Thomas Graham

Financial Fraud

SANCTION AMOUNT: $1,477,332

Defendants: VCAP Securities, LLC
Brett Thomas Graham

Settlement with brokerage firm and its CEO for allegedly fraudulently deceiving market participants while serving as liquidation agent at CDO auctions, by arranging for a third-party broker-dealer to secretly bid to acquire certain bonds at the cheapest possible prices for them, using confidential bidding information that they provided.

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