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At one point in the 1999 movie "The Insider," 60 Minutes producer Lowell Bergman (portrayed by Al Pacino) tells distraught Big Tobacco whistleblower Jeffrey Wigand, "Guys like you are in short supply." Bergmann's right. Whistleblowers...
I waited for March 26, 2009, in great anticipation that we might see meaningful change in protecting investors. I pray that my retirement years are not stolen from me as they have been from those who we represent - those who trusted Charles Schwab, OppenheimerFunds...
We need to invent a new word in the English language that describes an action so absurdly overdue that once finally undertaken it immediately becomes a totem of absurdity. We could have used this word when the FAA (now TSA) made the decision to ban box...
My friend William Lutz , who spearheaded the SEC's Plain English Rules , and now is overseeing a new 21 st Century Disclosure Initiative at the SEC and has alerted me to the Securities and Exchange Commission's (SEC) long overdue step towards...
Like the Wild West , hedge funds are a largely unregulated investment vehicle marketed as a tool for reaping large returns for investors willing to accept higher risk. In the current climate of market volatility, it appears that a sheriff is riding into...
NERA Economic Consulting has just published a report on SEC Civil Enforcement Settlements over the past few years. The study, SEC Settlements: A New Era Post-SOX , provides an overview of trends NERA has identified in the number of settlements and settlement...