More in Practice Management

  • Apr 3, 2014
    blog

    FINRA Cases Decrease, But Fines Increase

    The number of FINRA enforcement cases aimed at financial firms may be down slightly so far this year, but the fines themsleves are on the rise....More
  • Apr 2, 2014
    blog

    The Blotter Report: Eating the Paper Trail

    Would-be fraudsters beware: Eating the evidence will not deter the Securities and Exchange Commission. A Morgan Stanley stockbroker and an employee at a prominent New York law firm found that out the hard way when the two were charged with insider trading last month....More
  • Mar 31, 2014
    blog

    No ‘Get-Out-of-Jail-Free’ Card for Financial Firms

    Manhattan U.S. Attorney Preet Bharara put financial companies on notice Monday, saying he will hold institutions, not just individuals, accountable for crime—no matter how big the firm's reach....More
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