SEC
Whistleblower
Attorneys

December 26, 2017

Train Babcock Advisors LLC

Financial Fraud

SANCTION AMOUNT: Approximately $1,700,000

Defendants: Train Babcock Advisors LLC

Defendant agreed to settle charges of being the vehicle by which a former principal, John Rogicki, stole millions from his advisory client, a charitable foundation established by an elderly widow to donate her estate to health and education causes.

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