FINRA Arbitration Statistics as of October 2013

FINRA recently its updated arbitration statistics through October 2013.  Through October, there have been 3,156 new cases filed at FINRA. 3,859 cases have closed during the year.  659 cases, or...

Wall Street Bonus Outlook for 2013

The New York State Comptroller released on October 22, 2013 a report on the outlook for bonuses on Wall Street for 2013.  The report indicated that Wall Street profitability for...

CFTC Whistleblower Program

Under the Dodd-Frank Wall Street Reform and Consumer Protection Act, a new and little noticed whistleblower program was established at the Commodity Futures Trading Commission (CFTC), which allows for the payment of...