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 July 21, 2010 as a part of the Dodd-Frank Wall Street Reform and Consumer Protection Act signed by President Obama on July 21, 2010. The SEC Office of the Whistleblower hosts Frequently Asked Questions (www.SEC.gov/whistleblower). The whistleblower tip submissions can be made either online through the SEC’s tip, complaint or referral portal, or by mailing or faxing a Form TCR to: 


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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., American International Group, Inc., Pacific Life Insurance Company, Allianz SE, U.S. Life division, TIAA-CREF New York Life Insurance, Prudential PIC, Nationwide Mutual Insurance Company, Jackson National Life, Riversource Life Insurance Co., Security Benefit Life Insurance Co., Prudential Financial, Aegeon’s Transamerica, AXA S.A.’s U.S. Unit, and Lincoln National Corp. seeking the particulars of monetary incentives, gifts, and other things of value paid to third party brokers, brokerage firms, and agents involved with the sales of annuity products. 


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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 of the United States Securities and Exchange Commission recently issued an Investor Bulletin entitled, “15 Investment Tips for 2015.” The Bulletin highlights a number of suggestions and warnings, including the following: 


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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,” outlining the essential questions investors should ask that brokerage firms regarding the safeguarding of their personal information and assets. The alert cautions investors to be aware of security steps associated with password and PIN numbers and the need to safeguard this information, and also discusses the interface investors might encounter when accessing their accounts from differing computer devices, such as a home desktop computer versus a mobile device. 


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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 


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