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Helping financial advisors report and fight the anti-investor, anti-advisor practices of broker dealers and Wall Street.
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    The SEC and Whistleblowers: The Latest
    This Spring, the SEC announced that it had made a settlement in the cease and desist proceedings against the Houston-based tech and engineering firm, KBR Inc. The case was based on what the SEC regarded as restrictive language in employee confidentiality agreements. In the settlement, KBR has agreed to compliance measures and to make certain... Read more »The post The SEC and Whistleblowers: ...
    Former Morgan Stanley Advisor Sues the Brokerage Firm for Attorney’s Fees After Establishing it had No Right to Pursue Claim on Forgivable Loan
    Morgan Stanley Smith Barney, LLC (“Morgan Stanley”) is now being sued in court for attorney’s fees incurred by one of its former financial advisors who, in a FINRA arbitration hearing, succeeded in proving that FINRA member Morgan Stanley had no standing (i.e., no legal right) to sue him in FINRA arbitration for repayment of a bonus. In... Read more »The post Former Morgan Stanley Advisor Sue...
    The U.S. Supreme Court Extends Whistleblower Protections for Advisors and Other Professionals
    This past Tuesday, in the case of Lawson v. FMR, LLC the United States Supreme Court rendered a decision where it extended whistleblower protections to individuals and businesses that conduct business with public companies. This effectively extended the whistleblower protections to financials advisors working with third party firms. The Supreme Court decision stems from a... Read more »The po...