SEC
Whistleblower
Attorneys

February 15, 2018

Kevin J. Amell

Trading and Pricing

SANCTION AMOUNT: $1954457

Defendants: Kevin J. Amell

Defendant, a portfolio manager at a major asset management firm, carried out a fraudulent matched-trades scheme, in which he diverted at least $1.95 million to his personal account by prearranging trades of call options between his own account and the brokerage accounts of a fund he managed at prices that were disadvantageous to the fund and advantageous to him.

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