News Coverage


SEC Grants $1.5M Whistleblower Award To Compliance Officer

SEC Grants $1.5M Whistleblower Award To Compliance Officer

- Law360
The U.S. Securities and Exchange Commission announced Wednesday that it will grant approximately $1.5 million to a compliance officer who provided information that led to an SEC enforcement action against the employee’s company, its second-ever award to an employee with internal audit or compliance responsibilities.
The award was the first-ever given to a compliance officer under a rule that allows compliance employees to report misconduct to the SEC in order to prevent...

Getting Fired And Quitting On Wall Street (Robert Herskovits, Esq.)

Getting Fired And Quitting On Wall Street (Robert Herskovits, Esq.)

- Side Bar
Side Bar with Bill Singer interviews Rob Herskovits
Robert speaks about issues concerning the Protocol for broker recruiting and transition issues faced by registered representatives who depart from a broker-dealer. Robert discusses the history and mechanics of the Protocol as well as legal issues faced by broker-dealers who may consider joining the Protocol.