About Us
Our Team Practice Manifesto Our Approach Awards & Accolades Landmark SEC Lawsuit
SEC Whistleblower Program
Program Fundamentals SEC Tips Process Facts & Figures SEC Whistleblower Awards Common Securities Violations International Whistleblowers SEC Whistleblower Resources Eligibility Calculator
Clients & Results
Our Whistleblower Cases Our Clients SEC Prosecutions Private Securities Cases Whistleblower Advocacy
News & Insights
Articles & Perspectives In The News Reports & Surveys Rules & Regs Webinars, Videos & Podcasts
Resources
Securities Law Primer Eligibility Calculator SEC Insiders Guide SEC Whistleblower Handbook Sanctions Database FAQ
SEC
Whistleblower
Attorneys
Landmark Lawsuit Filed Against SEC to Protect Future Whistleblowers
About Us
Our Team Practice Manifesto Our Approach Awards & Accolades Landmark SEC Lawsuit
SEC Whistleblower Program
Program Fundamentals SEC Tips Process Facts & Figures SEC Whistleblower Awards Common Securities Violations International Whistleblowers SEC Whistleblower Resources Eligibility Calculator
Clients & Results
Our Whistleblower Cases Our Clients SEC Prosecutions Private Securities Cases Whistleblower Advocacy
Insights
All News & Insights Articles & Perspectives In The News Reports & Surveys Rules & Regs Webinars, Videos & Podcasts
Resources
Securities Law Primer Eligibility Calculator SEC Insiders Guide SEC Whistleblower Handbook Sanctions Database FAQ

December 21, 2018

American Portfolios Advisers Inc., PPS Advisors Inc., Lawrence Nicholas Passaretti

Trading and Pricing

SANCTION AMOUNT: $1852099

Defendants: American Portfolios Advisers Inc., PPS Advisors Inc.
Lawrence Nicholas Passaretti

Two New York-based investment advisers and the CEO/Chief Investment Officer of one of them (PPS) settled charges that they selected mutual fund share classes inconsistent with disclosures to clients, including instances in which they had conflicts of interest.

Find more cases
Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal and NPR
Stay in touch
New York
140 Broadway
New York, NY 10005
(212) 907-0836

Washington, D.C.
1050 Connecticut Avenue, NW, Suite 500
Washington, D.C. 20036
(202) 772-1880
Copyright © 2021 Labaton Sucharow LLP. All rights reserved.
Privacy Policy   |   Attorney Advertising Disclaimer
Stay in touch
Thank you for submitting some email to us.