sec whistleblower attorneys
December 09, 2019
Jefferies LLC
Trading and Pricing
SANCTION AMOUNT: $3995540
Defendants: Jefferies LLC
Respondent settled charges that it improperly borrowed pre-released American Depositary Receipts from other brokers when it should have known that the brokers did not own the foreign shares needed to support those ADRs.
- Key Docs
- Official SEC press release