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Join the Securities Litigation and Enforcement Group on LinkedInSEC Brings First Case Against B-D for Not Protecting Nonpublic Customer Info | Compliance Week
The SEC brought an interesting case this week against Wells Fargo Advisors LLC for failing to maintain adequate controls to prevent an employee from engaging in insider trading based on a customer’s nonpublic information. The SEC said the case was the first it has brought against a broker-dealer for failing to protect nonpublic information conveyed […]
Securities Docket News Wire for September 23, 2014
Get caught up with the Securities Docket News Wire for September 23, 2014.