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Aug 31, 2015

Former Brokers Bring $20M Whistleblower Suit Against Morgan Stanley

By |August 31st, 2015|FINRA, Press Releases & News, Securities Law Violations, Whistleblower|

Jaime Feldman and her husband, James Boland, a couple of ex-Morgan Stanley brokers in the firm's midtown Manhattan branch, have sued Morgan Stanley and the branch manager for $20 million in damages, claiming that they were retaliated against and wrongfully terminated after they blew the whistle on alleged fraudulent activity and securities law violations at [...]

Jul 20, 2015

SEC Gives Award To Whistleblower

By |July 20th, 2015|Press Releases & News, SEC, Whistleblower|

Whistleblower Gets Award In the SEC’s first retaliation case, a whistleblower will be awarded 30 percent of the amount collected by the SEC during the charge. The SEC recently established a whistleblower program that encourages whistleblowers to report key information to help the SEC enforce actions.  Through the whistleblower program, the SEC awards whistleblowers between [...]

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