Landmark Lawsuit Filed Against SEC to Protect Future Whistleblowers

September 27, 2018

Zachary Harrison, Putnam Investment Management, LLC

Trading and Pricing


Defendants: Putnam Investment Management, LLC
Zachary Harrison

The Commission found that Respondents, an investment adviser and one of its former portfolio managers, facilitated dozens of prearranged, illegal cross-trades of RMBS between client advisory accounts in a manner that disadvantaged the selling clients. Trades were executed at the bid price instead of the midpoint between the bid and the ask as required.

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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