Finding A Way.

Year in Review: SEC Round Up for 2013

I love taking stock of the highlights of a year as it draws to a close, so I am doing a mini-series of posts on topic.  The...

Taking It To A New Level — SEC Awards Whistleblower Unprecedented $14 Million

The Securities and Exchange Commission awarded more than $14 million to a whistleblower earlier this month.  The information led to an enforcement action that recovered substantial investor...

Congress Could Nix Mandatory Arbitration With Investors Choice Act

In light of the absence of SEC action on topic, Rep. Keith Ellison, D-Minn., a member of the House Financial Services Committee, has introduced the Investors Choice...