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.
- Key Docs
- Official SEC press release
