Key Discovery Rule Decision in Aronstein v. Massachusetts Mutual In a Decision handed down on April 22, 2016, the Honorable Mark G. Mastroianni, United States District Judge, for the District of Massachusetts, upheld the right of an investor, in a class action lawsuit against Massachusetts Mutual Life Insurance Company, to proceed with his underlying claims […]
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SEC Awards a Total of $8.5 Million Dollars in Two Separate Whistleblower Cases
SEC Awards a Total of $8.5 Million Dollars in Two Separate Whistleblower Cases In two separate press releases dated May 16, 2016 and May 17, 2016 the Securities and Exchange Commission announced awards of over $5,000,000 and $3.5 Million Dollars, respectively, to corporate employees whose information and tips bolstered and/or initiated separate investigations with evidence of wrongdoing. […]
Read PostFINRA Whistleblower Tip-Line
The Financial Industry Regulatory Authority maintains a whistleblower tip-line for individuals having information about potentially illegal or unethical activity involving the securities markets FINRA’s Office of Fraud Detection and Market Intelligence (OFDMI) whistleblower tip-line can be contacted at 1-866-96FINRA (1)-866-963-4672). Alternatively, individuals wishing to disclose and share potentially illegal or unethical activity in the securities […]
Read PostSEC Issues Investor Bulletin Regarding Stop Orders and Stop Limit Orders
On May 2, 2016 the SEC’s Office of Investor Education and Advocacy issued an investor bulletin designed to educate investors of the difference between using “stop” and “stop limit” orders to buy and sell stocks. Investors holding substantial positions in shares of individual stocks are oftentimes exposed to catastrophic losses in instances where their brokers […]
Read PostFINRA Hosts Arbitrator Appreciation Event
Are you interested in becoming a FINRA arbitrator? The Financial Industry Regulatory Authority (FINRA) is hosting an Arbitrator Appreciation Event on Wednesday, June 8, 2016 at the Kimmel Center at New York University. If you are interested in attending this event or serving as a FINRA arbitrator or FINRA neutral, contact Chris Avery at the […]
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