Expert: Compliance Officer SEC Whistleblower Reward Precedent for False Claims Act Awards

Whistleblower News Review by ML McLaren A $1.4 million SEC whistleblower reward to a corporate compliance officer for reporting company misconduct has caused a tremor through GC, compliance, and audit offices of non-compliant corporations but it…
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Getting Fired And Quitting On Wall Street (Robert Herskovits, Esq.)

by Bill Singer 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…
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