FINRA recently warned that firms could face disciplinary action if they enter into settlement agreements that bar customers or former employees from reporting wrongdoing at the firm.  Although FINRA recognized
Continue Reading Forget Including A Bar Of Whistleblower Tips In Settlement Agreements

Now that 2014 is here, it is a good idea to understand what the Enforcement Division might focus on this year.  In a recent article that appeared in the BNA,
Continue Reading What To Expect In 2014 From The SEC’s Enforcement Division