by dcadmin | Jan 9, 2024 | Auditor or Accountant, Blockchain Participant, Company Officer, Financial Adviser or Investor
Your firm says you did something wrong You’ve worked hard to build your reputation in the industry, and it doesn’t take much to tarnish everything you’ve built. Sometimes a customer will make a complaint and the firm will react defensively, blaming...
by dcadmin | Jan 9, 2024 | Company Owner
Customer claim or regulatory issue? Whether a Financial Adviser has been accused of impropriety by a customer or a regulator has begun asking questions, you will want to retain experienced counsel to address the relevant issues. We have handled both sides of customer...
by dcadmin | Jan 9, 2024 | Auditor or Accountant, Financial Adviser or Investor
What do I do now? Talk to a lawyer with experience dealing with whistleblowers. Most organizations have policies against retaliating against employees who report potential issues in good faith. Some types of reports may be covered by federal or state laws. A lawyer...
by dcadmin | Jan 9, 2024 | Company Officer, Company Owner
First steps Before you report anything, you need to assess whether what you have observed is actually unlawful. Sometimes, someone may have done something that appears to be illegal or unethical but, upon investigation, it is not in fact a legal violation. You should...
by dcadmin | Jan 9, 2024 | Auditor or Accountant, Blockchain Participant, Company Officer
Finding the “right” lawyer changes with the context. Insurance—Directors & Officers (“D&O”) Insurance Most companies of any size will have considered purchasing a D&O insurance policy and most corporate insurers will suggest such a policy...
