In the Margins
A whistleblower fired last year after publicly criticizing customer security measures at Vanguard Group has sued the mutual fund giant in federal court in Philadelphia, citing violations of whistleblower provisions of the Dodd-Frank Act. In a complaint filed on Dec. 2, former stockbroker Karen Brock accused the firm of infliction of emotional distress and wrongful termination of a whistleblower. Read the original story from TheStreet.
Most Read
Over the past several weeks, I have written articles exploring conflicts of interest that could challenge a variety of financial industry participants. Those articles explored potential ...
The Securities and Exchange Commission seems poised to grant exemptive relief to one of the earliest applicants seeking to offer an exchange-traded fund share class, just ...
The Investment Company Institute this week made public a set of recommendations to reform and modernize the Investment Company Act of 1940, which has not been ...
Securities brokerage firms are a critical part of the financial landscape, as they provide a vast array of products and services to the financial services industry, ...