Landmark Lawsuit Filed Against SEC to Protect Future Whistleblowers

December 10, 2019

Kornitzer Capital Management, Inc., John C. Kornitzer

Trading and Pricing


Defendants: Kornitzer Capital Management, Inc.
John C. Kornitzer

Respondents, a RIA and its principal, agreed to settle charges that they failed to follow client instructions while serving as investment adviser to four collective investment trusts. Managing board members of these trusts directed Respondents to diversify and they committed to do so but did not, resulting in significant losses.

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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