Amazines Free Article Archive
www.amazines.com - Thursday, September 19, 2019
Read about the most recent changes and happenings at Amazines.com
Log into your account or register as a new author. Start submitting your articles right now!
Search our database for articles.
Subscribe to receive articles emailed straight to your email account. You may choose multiple categories.
View our newest articles submitted by our authors.
View our most top rated articles rated by our visitors.
* Please note that this is NOT the ARTICLE manager
Add a new EZINE, or manage your EZINE submission.
Add fresh, free web content to your site such as newest articles, web tools, and quotes with a single piece of code!
Home What's New? Submit/Manage Articles Latest Posts Top Rated Article Search
Google
Subscriptions Manage Ezines
CATEGORIES
 Article Archive
 Advertising (133308)
 Advice (160838)
 Affiliate Programs (34734)
 Art and Culture (73677)
 Automotive (145670)
 Blogs (75039)
 Boating (9840)
 Books (17122)
 Buddhism (4124)
 Business (1328401)
 Business News (426309)
 Business Opportunities (366258)
 Camping (10960)
 Career (72696)
 Christianity (15840)
 Collecting (11637)
 Communication (115054)
 Computers (241951)
 Construction (38994)
 Consumer (49679)
 Cooking (17061)
 Copywriting (6566)
 Crafts (18204)
 Cuisine (7538)
 Current Affairs (20384)
 Dating (45774)
 EBooks (19685)
 E-Commerce (48198)
 Education (185194)
 Electronics (83491)
 Email (6391)
 Entertainment (159829)
 Environment (28934)
 Ezine (3039)
 Ezine Publishing (5446)
 Ezine Sites (1550)
 Family & Parenting (110899)
 Fashion & Cosmetics (196387)
 Female Entrepreneurs (11842)
 Feng Shui (130)
 Finance & Investment (310265)
 Fitness (106015)
 Food & Beverages (62861)
 Free Web Resources (7937)
 Gambling (30224)
 Gardening (25098)
 Government (10512)
 Health (629397)
 Hinduism (2205)
 Hobbies (44033)
 Home Business (91549)
 Home Improvement (251331)
 Home Repair (46123)
 Humor (4819)
 Import - Export (5452)
 Insurance (45126)
 Interior Design (29545)
 International Property (3484)
 Internet (190977)
 Internet Marketing (146323)
 Investment (22824)
 Islam (1167)
 Judaism (1356)
 Law (80469)
 Link Popularity (4591)
 Manufacturing (20842)
 Marketing (98758)
 MLM (14136)
 Motivation (18212)
 Music (27000)
 New to the Internet (9478)
 Non-Profit Organizations (4048)
 Online Shopping (129614)
 Organizing (7803)
 Party Ideas (11855)
 Pets (38081)
 Poetry (2234)
 Press Release (12672)
 Public Speaking (5618)
 Publishing (7523)
 Quotes (2407)
 Real Estate (126613)
 Recreation & Leisure (95261)
 Relationships (87453)
 Research (16157)
 Sales (80314)
 Science & Technology (110174)
 Search Engines (23450)
 Self Improvement (153093)
 Seniors (6231)
 Sexuality (35942)
 Small Business (49282)
 Software (82991)
 Spiritual (23463)
 Sports (116077)
 Tax (7658)
 Telecommuting (34065)
 Travel & Tourism (307259)
 UK Property Investment (3118)
 Video Games (13427)
 Web Traffic (11727)
 Website Design (56809)
 Website Promotion (36560)
 World News (1000+)
 Writing (35763)
Author Spotlight
SHWETA SINGH

This article has been written by a verified author, Shweta Singh. She has been in the business of wr...more
SHOVON JOARDER

Shovon Joarder has been working as Freelance Marketing Project Manager for over four years. He also ...more
PANKAJ RATTAN

I am Pankaj Rattan. I am a B.tech student. I love to ride my bike and play cricket. And i also love ...more
ROBERT HOWARD

The Word of God is as, “Sweet as Honey”. God has Taken Me Through a Whole Lot of Things...more
AMIT TIWARI

Amit Tiwari is a Digital marketing expert with over 4 years of experience and a wide variety of know...more


Whistleblower Who Came Forward After Being Fired May Proceed With Lawsuit by Ingrid Evans





Article Author Biography
Whistleblower Who Came Forward After Being Fired May Proceed With Lawsuit by
Article Posted: 10/28/2013
Article Views: 324
Articles Written: 33
Word Count: 513
Article Votes: 0
AddThis Social Bookmark Button

Whistleblower Who Came Forward After Being Fired May Proceed With Lawsuit


 
Business News,Law,Finance & Investment
A financial planner was terminated from his position after coming forward with concerns regarding possible securities law violations at his firm. A judge has ruled that the whistleblower may proceed with a claim under the Dodd-Frank Wall Street Reform and Consumer Protection Act. The judge rejected the company’s contention that the whistleblower does not fit the statutory definition of a Dodd-Frank whistleblower because he complained to the Securities and Exchange Commission after his employment was terminated. California whistleblower and securities attorneys say that whistleblowers are an important tool in the fight against financial fraud.

In this case, the whistleblower was a financial planner who worked for New England Investment & Retirement Group, Inc. The company offers many financial products for clients, among them are written reports analyzing securities traded on the national securities exchanges. New England Investment & Retirement Group, Inc. is governed by the 1940 Investment Advisors Act. The Investment Advisors Act requires that all registered investment companies must have a compliance official on staff who is responsible for Investment Advisors Act compliance. California whistleblower and securities attorneys remind the public that compliance departments are the first step in fraud prevention.

The whistleblower in this case alleged that the firm he worked for was providing misleading investment reports to current and potential clients. He made a list detailing the alleged infractions. The whistleblower then gave the report to the compliance department at the firm. The compliance department then conducted their own separate investigation. Subsequently, in August of 2010, the whistleblower was terminated from his position at the firm. The reason he was given for his termination was that he had allegedly e-mailed confidential New England Investment & Retirement Group, Inc. information to his private e-mail account.

After the whistleblower was terminated from his employment at New England Investment & Retirement Group, Inc., he went to the Securities and Exchange Commission and volunteered to help with an investigation of his former employer. The Securities and Exchange Commission performed an investigation and assessed New England Investment & Retirement Group, Inc. $200,000 in civil penalties for knowingly violating securities regulations. The whistleblower then sued New England Investment & Retirement Group, Inc. for whistleblower retaliation, alleging that he was terminated because he came forward with concerns. He claims that his termination was a violation of the Dodd-Frank Act whistleblower provisions. California whistleblower and securities attorneys remind the public that whistleblowers help to save taxpayers millions of dollars every year.

In this case, the court ruled that the amended complaint was adequate and that the retaliation claim under Dodd-Frank would be allowed. The defendant’s motion for judgment on the pleadings was denied. The court adopted the Securities and Exchange Commission’s interpretation of Dodd-Frank.

Evans Law Firm, Inc. handles whistleblower/false claims, consumer fraud class actions, insurance and banking fraud, consumer product liability, elder abuse, and personal injury cases. If you think that you have witnessed or are the victim of financial fraud by an insurance company, bank or individual then, contact Evans Law Firm, Inc. at (415) 441-8669 for a free and confidential consultation, or email info@evanslaw.com.

Related Articles - whistleblower, whistleblower retaliation, Securities and Exchange Commission,

Email this Article to a Friend!

Receive Articles like this one direct to your email box!
Subscribe for free today!

 Rate This Article  
Completely useless, should be removed from directory.
Minimal useful information.
Decent and informative.
Great article, very informative and helpful.
A 'Must Read'.

 

Do you Agree or Disagree? Have a Comment? POST IT!

 Reader Opinions 
Submit your comments and they will be posted here.
Make this comment or to the Author only:
Name:
Email:
*Your email will NOT be posted. This is for administrative purposes only.
Comments: *Your Comments WILL be posted to the AUTHOR ONLY if you select PRIVATE and to this PUBLIC PAGE if you select PUBLIC, so write accordingly.
 
Please enter the code in the image:



 Author Login 
LOGIN
Register for Author Account

 

Advertiser Login

 

ADVERTISE HERE NOW!
   Limited Time $60 Offer!
   90  Days-1.5 Million Views  

 

Great Paranormal Romance


LAURA JEEVES

At LeadGenerators, we specialise in content-led Online Marketing Strategies for our clients in the t...more
STEPHEN BYE

Steve Bye is currently a fiction writer, who published his first novel, ‘Looking Forward Through The...more
GENE MYERS

Author of four books and two screenplays; frequent magazine contributor. I have four other books "in...more
SUSAN FRIESEN

Susan Friesen, founder of the award-winning web development and digital marketing firm eVision Media...more
TIM FAY

I am not a writer nor am I trying to become a writer. I am an average person with average intelligen...more
JOANNA MORGAN

Joanna Morgan has a huge passion for making money online from home and enjoys traveling around the w...more
STEVERT MCKENZIE

Stevert Mckenzie, Travel Enthusiast. ...more
JAMES OLEANDER

James Oleander is a professional writer on business and financial topics. He has published many arti...more
JASON NG

Jason Ng has a huge passion for the health and fitness industry as he strongly believes that having ...more
LANCE CHAPMAN

An experienced, resourceful and highly motivated IT professional, with a proven record of success in...more

HomeLinksAbout UsContact UsTerms of UsePrivacy PolicyFAQResources
Copyright © 2019, All rights reserved.
Some pages may contain portions of text relating to certain topics obtained from wikipedia.org under the GNU FDL license