Posts from July 2015.

The Securities and Exchange Commission (“SEC”) announced last week that it paid out over $3 million to a whistleblower. The payment marks the third highest award since the inception of the Office of the Whistleblower, which was established to administer...

As part of its 2015 Examination Priorities the Office of Compliance Inspections and Examinations (“OCIE”) included “examining matters of importance to retail investors and investors saving for retirement” to its initiatives. Based on this priority, the Retirement-Targeted Industry Reviews and...

The Securities and Exchange Commission ("SEC") has charged a Wisconsin-based investment advisory firm and its owner with "cherry-picking." Mark P. Welhouse of Welhouse and Associates, Inc. ("Welhouse") has been accused of placing more favorable trades in his personal and business...

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