Monthly Archives: November 2015

JLG Legal Risk Management Tip – The Importance of Strategic Transition and Business Succession Planning

00105993Considerations that Businesses Should Keep in Mind Prior to Implementing a Transition and Business Succession Plan

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FINRA Fines Five Firms for Failure to Waive Mutual Fund Charges

Fines PaidFive Broker-Dealers Ordered to Pay $18 Million in Restitution for Failing to Wave Class A Mutual Fund Share Charges

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Filed under Broker-Dealers, FINRA

Whistleblower Awarded $325,000 from the SEC

#NewsThe Securities and Exchange Commission (“SEC”) paid out an award totaling more than $325,000 to a former employee of an investment firm for supplying them with information regarding fraudulent activities at his former firm including specific information regarding the individuals involved. The information allowed the SEC to open an investigation and discover the extent of the fraud. Continue reading

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Filed under Investment Advisers