ATTORNEY NEWSLETTER Commodity Futures Trading Commission Whistleblower Program Futures and derivatives trading played a major part in this country’s financial crisis of 2008. Some of that trading was based on...
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San Francisco and California Whistleblower Attorneys: Securities and Exchange Commission Whistleblower Awards
March 27, 2018
ATTORNEY NEWSLETTER Securities and Exchange Commission Whistleblower Awards Last year alone the Securities and Exchange Commission (SEC) received over 4400 tips about securities fraud from whistleblowers and other...
Santa Clara County and California Life Insurance Attorney: Indexed Universal Life Insurance
March 21, 2018
ATTORNEY NEWSLETTER Beware the Sales Push on Indexed Universal Life Insurance Life Insurance and Retirement Savings Indexed universal life insurance policies (IULs) have been around for years. The sales pitch is always...
Marin County and California Financial Elder Abuse and Annuity Attorneys: FINRA Enforcement
March 20, 2018
ATTORNEY NEWSLETTER FINRA Cracking Down on Faulty Annuity Replacements Cracking Down on Exploitation The Financial Industry Regulatory Authority (FINRA) is the independent authority that governs the nation’s financial...
Alameda County and California Securities Fraud and Financial Elder Abuse Attorneys: Fiduciary Rule
March 19, 2018
ATTORNEY NEWSLETTER Government Agencies and the Fiduciary Rule Putting You First Last year, the Department of Labor (DOL) announced its fiduciary rule which applies primarily to retirement investment advisors; the rule...