Month: March 2022


Potential Liability of Chief Compliance Officers

 Chief Compliance Officer Chief Compliance Officers (CCOs) at member firms play a vital role. For example, CCOs and their compliance teams help design and implement compliance programs, help educate and train firm personnel, and work in tandem with senior business management and legal departments to foster compliance with regulatory requirements. […]

Securities Lawyer
Arbitration Brokers Compliance

Morgan Stanley Deferred Comp Claims

Morgan Stanley may have violated ERISA rules when it cancelled certain deferred compensation assets for brokers who left the firm. We are investigating claims for Morgan Stanley advisors who were denied their deferred compensaton payments when they left the firm. There is a proposed class action pending, but individual advisors […]

Whistleblower independent analysis

SEC Awards $1.25 Million to Whistleblower

The Securities and Exchange Commission today announced an award of $1.25 million to a whistleblower who provided specific and credible information that prompted SEC staff to open an investigation that resulted in a successful SEC covered action. After alerting SEC staff to the underlying conduct, the whistleblower provided extensive assistance […]