Jurors found that MetLife allowed Tony Russon, a former managing partner, to promote Friedman's fund during insurance sales meetings. Read more
The February agreement by Monsanto settled claims that the company misstated its earnings by not properly accounting for millions of dollars. Read more
Financial incentives in the form of whistleblower awards, as Congress recognized, are integral to promoting whistleblowing to the Commission. Read more
State Street Corp. will pay $530 million to resolve federal and proposed class claims that it overcharged customers on foreign exchange transactions. Read more
The SEC issued an order finding that Morgan Stanley failed to adopt written policies and procedures reasonably designed to protect customer data. Read more
I am pleased to report that the whistleblower program under the Securities and Exchange Commission (SEC) is working very well. In a clear sign of the increased awareness – and effectiveness... Read more
I have found that few people in the business world really understand how the pharmacy benefit managers operate. Read more
Life Partners filed for bankruptcy in 2015, after a $47 million jury verdict obtained by the SEC. Read more
The SEC alleges violations of the antifraud provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934. Read more
The suit claims JPMorgan violated the Securities Exchange Act by misleading investors about the riskiness of the bank's derivatives trading, which led JPMorgan's stock to drop when the losse... Read more
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