Client Login Portal.png?width=11&height=11&name=plus-img%20(1).png){kind=small}
A Summer of BD Discontent
Jordan A. Thomas weighs in on the importance of protecting customer assets
In June 2016, the SEC announced a $415 million settlement with broker-dealer Merrill Lynch for its misuse of customer...
July
26,
2016
Law360, The Wall Street Journal, Bloomberg, ThinkAdvisor, USA Today, Reuters
Merrill Lynch Settles SEC Probe in Largest Customer Protection Settlement in Agency's History
Jordan A. Thomas comments on whistleblower clients leading to Bank of America’s $415M SEC enforcement action
Bank of America Corp's Merrill Lynch brokerage unit will pay $415 million and admit to...
June
23,
2016
Law360, The Wall Street Journal, InsideCounsel, Bloomberg, ThinkAdvisor, The Washington Post, Washington Examiner
SEC Hands Whistleblower $17M for Juicy Tip
Jordan A. Thomas comments on recent SEC whistleblower case involving record settlement figure
The U.S. Securities and Exchange Commission has awarded $17 million—its second largest award yet—to a...
June
09,
2016
New York