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Monthly Archives: October 2014

8 House Representatives Push for Stronger SEC Whistleblower Protection

On October 27, 2014, eight Members of the U.S. House of Representatives sent a letter to Securities and Exchange Commission (SEC) Chairwoman Mary Jo White in support of increased SEC whistleblower protection.  The letter, written on the letterhead of The House Committee on Financial Services, details some of the SEC whistleblower program's successes, including its [...]

October 29th, 2014|Uncategorized|

SEC Whistleblower Award Program Sees Increased Activity during 2014

The Securities and Exchange Commission (SEC) has issued a press release announcing increased activity in its SEC whistleblower award program during the 2014 fiscal year. The highlights that the SEC reported for 2014 included: Nine (9) SEC whistleblowers received SEC whistleblower rewards (disclaimer:  one of those SEC whistleblowers who received an award was a client [...]

October 21st, 2014|Uncategorized|

FINRA Arbitration Agreements Cannot Prevent SEC Whistleblowers from Communicating with the SEC

FINRA has issued a Regulatory Notice stating that settlement agreements, discovery stipulations, and other confidentiality agreements made during a FINRA arbitration proceeding cannot “prohibit or restrict a customer or any other person from communicating with the Securities and Exchange Commission (SEC) … regarding a possible securities law violation.” This statement is set forth in FINRA [...]

October 14th, 2014|Uncategorized|

Pickholz teaches course on SEC whistleblowers

On October 3, 2014, Jason Pickholz taught a live webinar on SEC whistleblowers entitled "Incentives and Protections for the Modern Whistleblower".  During the program, Mr. Pickholz offers insights based upon his experience as one of the first SEC whistleblower lawyers to win an SEC whistleblower award for a client, and as the first SEC whistleblower [...]

October 8th, 2014|Uncategorized|