SEC
Whistleblower
Attorneys

August 31, 2018

Massachusetts Financial Services Company

Trading and Pricing

SANCTION AMOUNT: $1900000

Defendants: Massachusetts Financial Services Company

Respondent investment adviser agreed to settle the Commission's findings of material misstatements and omissions concerning hypothetical stock returns from a blended fundamental and quantitative stock rating model, because some of the quant ratings were determined retroactively.

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