Payment for Order Flow (PFOF) and Gamification: Your Questions Answered
Summer Enforcement Action Review; Raising Money in a Pandemic - Investment Management Roundtable Discussion
Investment Management and Private Funds Roundtable – June 2020
Videocast: Asset management regulation in 2020 videocast series – FinTech initiatives
Videocast: Asset management regulation in 2020 videocast series – Fiduciary investment advice: The patchwork emerges
Videocast: Asset management regulation in 2020 videocast series – SEC enforcement
Videocast: Asset management regulation in 2020 videocast series – Complying with new SEC rules for broker-dealers
Investment Management Roundtable Discussion – Regulatory and Enforcement Update
Regulation Best Interest Videocast Series: Establishing An Investment Platform Post-Regulation BI
Investment Management Update - Focus on Data Privacy and Cybersecurity
Former HR Executive Sues Financial Services Company for Equal Pay Violations in New Jersey Federal Court - A former head of human resources sued a financial services company for allegedly underpaying her relative to her...more
Court Affirms $4.26 Million Jury Award For “Self-Published Defamation” - Tilkey v. Allstate Ins. Co., 2020 WL 6268474 (Cal. Ct. App. 2020) - Allstate terminated Michael Tilkey, a 30-year employee who sold life...more
Bass, Berry & Sims attorney Chris Lazarini provided insight on a lawsuit involving a former broker of Wells Fargo who sued the firm in state court for fraud and personal injury when the company initiated a foreclosure action...more
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. ...more
Bass, Berry & Sims attorney Chris Lazarini discussed a case where defendant carried out a personal vendetta against the plaintiff following plaintiff's report against defendant for violations of securities laws. Following...more
On October 26, 2015, in the case Barr v. Bishop Rosen & Co., the New Jersey Appellate Division issued its first published decision applying the New Jersey Supreme Court’s decision in Atalese v. U.S. Legal Services Group LP to...more
SEC Awards Another Whistleblowing Compliance Officer - On April 22, 2015, the Securities and Exchange Commission (SEC) announced an award between $1.4 and $1.6 million to a compliance officer who provided information...more