Are You Interested in Being An SEC Whistleblower?

Stockbroker Law - Friday, May 15, 2015
Are You Interested in Being An SEC Whistleblower?

The Office of the Whistleblower of the Securities and Exchange Commission (hereafter “SEC”) established a whistleblower program on Jul ..

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Senator Elizabeth Warren Investigate Insurance Company Sales Incentives For Annuity Products

Stockbroker Law - Tuesday, May 12, 2015
Senator Elizabeth Warren Investigate Insurance Company Sales Incentives For Annuity Products

Massachusetts Senator Elizabeth Warren sent a letter on Tuesday, April 26, 2015, to a number of large insurance companies, including MetLife, Inc. ..

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Fifteen Investment Tips for 2015

Stockbroker Law - Monday, April 06, 2015
Fifteen Investment Tips for 2015

The Office of Investor Education and Advocacy (http://www.sec.gov/investor/pubs/aboutoiea.htm) of the United States Securities and Exchange Commis ..

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FINRA Issues Cybersecurity Investor Alert

Stockbroker Law - Wednesday, April 01, 2015
FINRA Issues Cybersecurity Investor Alert

On February 3, 2015, FINRA issued an investor alert, entitled “Cybersecurity and Your Brokerage Firm (http://www.finra.org/investors/alerts/ ..

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ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciaries

Stockbroker Law - Tuesday, August 12, 2014
ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciaries

ERISA-Qualified Pension Plans The past decade has seen an explosion of new investment products being purchased in ERISA-qualified pension plans. T ..

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