SEC
Whistleblower
Attorneys

July 31, 2019

John Place, John Kirk, Paul Kirk

Trading and Pricing

SANCTION AMOUNT: $1,498,871

Defendants: John Place, John Kirk, Paul Kirk

Defendants were senior executives of a brokerage consulting business, Global Transition Solutions, LLC. They consented to the entry of final judgments in a case alleging that they deceived customers and prospective customers by telling them that GTS would receive only clearly disclosed commissions on trades when, in reality, GTS also received additional revenue from mark-ups and mark-downs charged by other brokers and shared with GTS.

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal and NPR
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