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 [...]
SEC Says Co. Violated Whistleblower Protection Rules By Impeding Investors
The U.S. Securities and Exchange Commission recently amended a court Complaint to add charges that a company and its owner violated SEC whistleblower protection rules. (For past cases in which the SEC brought actions against [...]
DB Whistleblower Award Denial Highlights The Importance Of Having Good Counsel At The Start
Last week, in a full written Opinion, a U.S. Court of Appeals upheld the U.S. Securities and Exchange Commission’s 2017 decision to deny three claimants a share of an SEC whistleblower award related to Deutsche [...]
