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..
- Key Docs
- Official SEC press release