Tag: SEC
Katz, Marshall & Banks Issues New Guides for SEC and CFTC Whistleblower Programs
Article
Katz, Marshall & Banks, LLP is offering for free download practice guides for the whistleblower programs for the U.S. Securities and Exchange Commission (SEC) and the U.S. Commodity Futures Trading Commission (CFTC).
JPMorgan Pays $367M To Settle SEC, CFTC Probes
NEWS
The SEC accused two of the bank’s wealth management subsidiaries of failing to disclose conflicts of interest to clients.
