Month: September 2014

SEC to Pay $30 Million Whistleblower Award, Its Largest Yet

Blowing the whistle is increasingly worth big bucks.The Securities and Exchange Commission said Monday that a foreign tipster will collect a record whistleblower award of more than $30 million, more than twice as much as the highest previous award. The award came less than a week after Attorney General Eric Holder gave a New York speech in …

SEC to Pay $30 Million Whistleblower Award, Its Largest Yet Read More »

Morgan Stanley/UBS Merger “Conversations”

SEPTEMBER 8 – There are rumblings, rumors, conversations, hypotheticals within the wealth management industry that Morgan Stanley has given consideration to buying UBS WMA’s North American operations. We have heard this ‘what if’ from an interesting collage of sources – enough of them that it certainly warrants referencing and discussing. Who are the folks having …

Morgan Stanley/UBS Merger “Conversations” Read More »