Landmark Lawsuit Filed Against SEC to Protect Future Whistleblowers

September 04, 2019

The Options Clearing Corporation

Trading and Pricing


Defendants: The Options Clearing Corporation

Respondent, the U.S.’s sole registered clearing agency for exchange-listed option contracts on equities, agreed to settle charges that it failed to establish and enforce policies and procedures involving financial risk management, operational requirements and information-systems security, and changed policies on core risk management issues without obtaining required SEC approval.

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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