SEC
Whistleblower
Attorneys

August 28, 2018

Moody’s Investors Service, Inc.

Trading and Pricing

SANCTION AMOUNT: $1250000

Defendants: Moody’s Investors Service, Inc.

The Commission found that, for 26 ratings of securities known as “combo notes” with a total notional value of about $2 billion, Moody’s assigned ratings in a manner that was inconsistent with other types of securities that used the same rating symbols.

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