SEC
Whistleblower
Attorneys

September 03, 2020

National Financial Services LLC, FuelCell Energy, Inc.

Trading and Pricing

SANCTION AMOUNT: $2461193

Defendants: National Financial Services LLC, FuelCell Energy, Inc.

Respondent National Financial Services, a Fidelity subsidiary, was the statutory underwriter for five at-the-market delayed shelf offerings of FuelCell common stock to the public. The SEC found that FuelCell failed to file final prospectuses in connection with these offerings, as required, which was an obligation that NFS also had liability for in its role. Respondents agreed to settle the charges.

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