Isobel Markham

July 15, 2014 | The American Lawyer

California Democrat wants to increase the percentage of advisers examined by the SEC

By Isobel Markham

2 minute read

July 14, 2014 | The American Lawyer

Changes seek to restore "perception of fairness" in the wake of allegations made in "Flash Boys."

By Isobel Markham

2 minute read

July 12, 2014 | The American Lawyer

The court rejected an ex-broker's claims that disclosures in FINRA's BrokerCheck violated his privacy rights

By Isobel Markham

2 minute read

July 11, 2014 | The American Lawyer

The brokerage's board learned in May that chief executive James Holbrook faced DOJ and Treasury scrutiny for possible misuse of company assets.

By Isobel Markham

2 minute read

July 11, 2014 | The American Lawyer

The regulator is seeking to determine whether some brokers route trades to the exchanges that pay the highest fees.

By Isobel Markham

2 minute read

July 11, 2014 | The American Lawyer

Carcello will be the only business school professor on the agency's investor advisory committee.

By Isobel Markham

2 minute read

July 11, 2014 | The American Lawyer

The bank is expected to pay around $7 billion to close a probe into its sale of mortgage-backed securities.

By Isobel Markham

2 minute read

July 10, 2014 | The American Lawyer

The Wall Street giant failed to adequately oversee its commissions program for retired brokers, FINRA claims.

By Isobel Markham

2 minute read

July 10, 2014 | The American Lawyer

In testimony, industry leaders call for significant changes in stock trading rules.

By Isobel Markham

3 minute read

July 09, 2014 | The American Lawyer

The Securities and Exchange Commission has charged Kings Canyon Joint Unified School District in California with misleading bond investors about its failure to provide contractually required financial information and notices.

By Isobel Markham

2 minute read