SEC
Whistleblower
Attorneys
LANDMARK LAWSUIT FILED AGAINST SEC TO PROTECT ALL WHISTLEBLOWERS

June 30, 2021

Securities America, Inc.

Trading and Pricing

SANCTION AMOUNT: $1750000

Defendants: Securities America, Inc.

Sanction was a civil monetary penalty agreed to by respondent as part of its undertakings to resolve charges. The SEC found that it failed to implement policies and procedures reasonably designed to protect the misappropriation of advisory client assets, resulting in the misappropriation of millions of dollars from client advisory accounts.

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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