SEC Reviewing 12b-1 Fees

Think Advisor
April 7, 2015

Jordan A. Thomas notes recent whistleblowers are "more senior"

At a recent DC Bar event, Jordan A. Thomas, Chair of Labaton Sucharow’s Whistleblower Practice as well as the Investor Rights Committee for the DC Bar, moderated a panel on the topic titled, “Straight Talk for Asset Managers and Their Counsel.”

Jordan noted that the whistleblowers who are now coming forward are “more senior” and that corporate whisteblowers are hailing from the asset management industry. “More people are coming forward in that space than any sector than I’ve seen,” he said.