strikethree

FINRA and the SEC regularly disclose open cases against individuals long before settlement has been reached.

I think you would have to disclose a regulatory investigation and when you look at the "expert network" violations from a few months ago, JNS, Invesco, etc came right out and said they were under investigation.

From a legal standpoint it is obviously much better to over disclose than under disclose.



Edited 1 time(s). Last edit at Tuesday, May 31, 2011 at 05:39PM by Paraguay.