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Richard L. Cassin Publisher and Editor

Andy Spalding Senior Editor

Jessica Tillipman Senior Editor

Elizabeth K. Spahn Editor Emeritus

Cody Worthington Contributing Editor

Julie DiMauro Contributing Editor

Thomas Fox Contributing Editor

Marc Alain Bohn Contributing Editor

Bill Waite Contributing Editor

Shruti J. Shah Contributing Editor

Russell A. Stamets Contributing Editor

Richard Bistrong Contributing Editor 

Eric Carlson Contributing Editor

Bill Steinman Contributing Editor

Aarti Maharaj Contributing Editor


FCPA Blog Daily News

Entries in Paradigm Capital Management (4)

Monday
Oct312016

SEC warns advisors and brokers to comply with whistleblower protection rule

The U.S. Securities and Exchange Commission has warned investment advisers and broker-dealers to comply with the Dodd-Frank whistleblower-protection rule.

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Thursday
Oct062016

SEC brings its first stand-alone whistleblower retaliation action

The SEC last week brought its first enforcement action based solely on retaliation against a whistleblower. Casino-gaming company International Gaming Technology (IGT) agreed to pay a $500,000 penalty to settle the SEC's enforcement action.

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Wednesday
Apr292015

SEC awards Paradigm Capital whistleblower $600,000 for retaliation

Candace King Weir (Image courtesy of Paradigm Capital Management)The former head trader at Paradigm Capital Management who was demoted and marginalized after reporting conflicts of interest to the SEC was awarded more than $600,000 Tuesday in the agency's first enforcement action based on retaliation against a whistleblower.

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Tuesday
Jun172014

Hedge fund advisor settles first SEC whistleblower anti-retaliation charges

The SEC Monday charged hedge-fund advisory firm Paradigm Capital Management with retaliating against an employee who reported alleged misconduct to the agency.

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