PwC was required to test the internal controls over Merrill Lynch’s compliance reporting to the SEC. Read more
Brokers routinely take kickbacks, euphemistically referred to as 'rebates,' for routing orders to a particular exchange. Read more
The settlement ends an investigation by the U.S. Attorney’s office in Manhattan. Read more
HD Supply, originally a San Diego, California-based industrial supplier called Maintenance Warehouse, was acquired by The Home Depot in 1997. Read more
The number of class action securities fraud suits filed in federal court surged to a record high in the first half of 2017. Read more
In any case, the ERISA case can be viewed as both a positive and a negative. Read more
The judge agreed with the DOJ's argument that the Anthem - Cigna merger would reduce the number of health insurers able to provide coverage. Read more
The Melton case mentioned above that our firm, along with Lance Cooper, handled in Georgia was the sole reason GM’s bad conduct was initially uncovered. Read more
Edward Jones has been sued for a second time this year in a complaint alleging excessive fees and self-dealing in its ERISA 401(k) plan. Read more
The U.S. Securities and Exchange Commission (SEC) a win in its insider trading suit against the two men. Read more
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