The Impact Of COVID-19 On SEC Whistleblower Processes And SEC Enforcement Investigations
[Updated on April 4, 2020 to reflect new developments.] Since a national emergency was declared a little over a week ago, there has been a lot of coverage of the novel coronavirus known as COVID-19. [...]
128 Pages Of SEC Whistleblower Information: 2020 Update To Securities Crimes Book
With the recent release of the 2020 edition of Securities Crimes, the two-volume book now contains 128 pages of detailed SEC whistleblower information, not including appendices. Securities Crimes is published by Thomson Reuters, one of [...]
Insider Trading: Historic US House Bill Would Clarify What It Is And When It Is Illegal
2019 Year-In-Review Part 3 For many years, it has been axiomatic that insider trading is illegal. However, what exactly insider trading is and how to define it has caused some difficulty and conflict among the [...]
US Senate & House Take Up SEC Disgorgement After Kokesh: 2019 Year-In-Review Part 2
Congress took up SEC disgorgement during 2019 In today’s post, I discuss certain developments in 2019 that concern the continued viability of SEC disgorgement as a remedy against securities law violators. These 2019 [...]
Senate, House & 68 IGs Unite Behind Strong Whistleblowing Policy: 2019 Year-In-Review
Amid recent calls by certain individuals to reveal the identity of “the Ukraine whistleblower”, many potential SEC whistleblowers, and SEC whistleblower lawyers, have been wondering whether the U.S. government’s whistleblowing policy is still on their [...]
SEC Whistleblower Award Winners Have These Things In Common
This year’s Securities and Exchange Commission’s Annual Report to Congress on the SEC Whistleblower Program describes some of the common characteristics shared by past SEC whistleblower award winners. The SEC’s 2019 Report [...]
