SEC
Whistleblower
Attorneys

May 15, 2020

Morningstar Credit Ratings LLC

Trading and Pricing

SANCTION AMOUNT: $3500000

Defendants: Morningstar Credit Ratings LLC

Respondent agreed to pay the specified sanction and undertake remedial measures after the SEC found that credit rating analysts in its asset-backed securities group engaged in sales and marketing to prospective clients, presenting a conflict-of-interest..

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