SEC
Whistleblower
Attorneys
Landmark Lawsuit Filed Against SEC to Protect Future Whistleblowers

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.

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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