SEC
Whistleblower
Attorneys

December 21, 2018

Thoroughbred Financial Services, LLC, Thomas Jenkins Parker, Lawrence Randall “Randy” Hartley

Trading and Pricing

SANCTION AMOUNT: 1679241.88

Defendants: Thoroughbred Financial Services, LLC
Thomas Jenkins Parker, Lawrence Randall “Randy” Hartley

Administrative Order/proceeding finding that Respondents committed breaches of fiduciary duty and made inadequate disclosures in connection with their mutual fund share class selection practices (unnecessarily/improperly selecting share classes that charged 12b-1 fees), along with misleading statements and omissions upon revising their practices after a Commission examination.

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