How to Respond to a Whistleblower

Check out my most recent article published in the Investment Advisor Association IAA Newsletter: August 2014— co-authored by by Paul Huey-Burns (one of the nation’s leading advocates on behalf of individuals and businesses involved in investigations by the SEC or other securities regulators) and Megan Raker (a summer associate at our firm, Shulman Rogers Gandal Pordy & Ecker, P.A.).

Compliance Corner—How to Respond to a Whistleblower