SEC
Whistleblower
Attorneys

September 29, 2020

Kroll Bond Rating Agency Inc.

Financial Fraud

SANCTION AMOUNT: Approximately $2,000,000

Defendants: Kroll Bond Rating Agency Inc.

This sanction was agreed to by Respondent to resolve the SEC’s findings of internal control and methodology failures regarding ratings of commercial mortgage-backed securities and collateralized loan obligation combination notes.

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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