SEC
Whistleblower
Attorneys

December 10, 2018

MUFG Securities Americas Inc.

Trading and Pricing

SANCTION AMOUNT: $1400000

Defendants: MUFG Securities Americas Inc.

Settlement of charges that Respondent broker-dealer provided the SEC with incomplete and deficient securities trading information known as “blue sheet data.”

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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