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Does The SEC Give Sufficient Notice To Claim An SEC Whistleblower Award?

-- 2 Whistleblowers Ask The Second Circuit To Decide -- Under the SEC whistleblower program, people who provide information about securities frauds to the U.S. Securities and Exchange Commission can receive monetary whistleblower awards.  Those [...]

By |September 6th, 2017|Categories: Uncategorized|Comments Off on Does The SEC Give Sufficient Notice To Claim An SEC Whistleblower Award?

Study Finds SEC Whistleblower Help Leads To Significantly Larger Financial Penalties

The Social Science Research Network (SSRN) has posted a report studying the effects that DOJ and SEC whistleblowers have had on financial misrepresentation actions.*  (The “Study”.)  The Study finds a connection between whistleblower assistance and [...]

By |August 23rd, 2017|Categories: Uncategorized|Comments Off on Study Finds SEC Whistleblower Help Leads To Significantly Larger Financial Penalties

Can A Government Employee Win An SEC Whistleblower Award?

One of the first questions that a potential SEC whistleblower may ask an SEC whistleblower lawyer is whether he or she is eligible to win an SEC whistleblower award. Sometimes this question can be answered [...]

By |July 26th, 2017|Categories: Uncategorized|Comments Off on Can A Government Employee Win An SEC Whistleblower Award?

Supreme Court To Decide Whether Dodd-Frank Protects Internal Whistleblowers

Do the Dodd-Frank Act’s anti-retaliation provisions protect whistleblowers who report securities frauds or violations to their employers, if they do not also report them to the SEC?  This question is of particular concern to an [...]

By |July 5th, 2017|Categories: Uncategorized|Comments Off on Supreme Court To Decide Whether Dodd-Frank Protects Internal Whistleblowers

SEC Fines Barclays Again: $97MM Is The Second Fine In Under 2 Weeks

As a follow-up to my last article, on Wednesday the SEC announced that it has fined Barclays Capital more than $97 million for overcharging three sets of clients by almost $50 million.  The violations took [...]

By |May 15th, 2017|Categories: Uncategorized|Comments Off on SEC Fines Barclays Again: $97MM Is The Second Fine In Under 2 Weeks

SEC Fines Barclays Over $12.7 Million For RMBS Supervisory Failures

A preliminary question that many potential SEC whistleblowers ask is whether the SEC has jurisdiction to investigate the type of fraud or misconduct that they have uncovered.  A potential whistleblower will often raise this question [...]

By |May 3rd, 2017|Categories: Uncategorized|Comments Off on SEC Fines Barclays Over $12.7 Million For RMBS Supervisory Failures