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Albany firm fined in whistleblower case

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An Albany-based hedge fund advisory firm is the first to be charged by the federal Securities and Exchange Commission under enhanced anti-retaliation regulations against whistleblowers. The SEC charged Paradigm Capital Management with engaging in prohibited transactions with an inherent conflict of interest, then retaliating against an employee who brought the trading activities to the SEC’s attention. To settle the charges, Paradigm Capital Management and owner Candace King Weir of Loudonville agreed to pay the SEC ...

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