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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

Republican CHOICE Act 2.0 Preserves The SEC Whistleblower Program

Over the past several months, many people have asked me what I think, as an SEC whistleblower lawyer, about the future of the SEC whistleblower program in light of the current Presidential administration’s calls to [...]

By |April 25th, 2017|Categories: Uncategorized|Comments Off on Republican CHOICE Act 2.0 Preserves The SEC Whistleblower Program

Senators Introduce Bi-Partisan Bill To Increase SEC Penalties

Yesterday, four U.S. Senators introduced a bi-partisan bill to increase civil penalties under the Federal securities laws. The name of the bill is the Stronger Enforcement of Civil Penalties Act, otherwise known as the “SEC [...]

By |March 31st, 2017|Categories: Uncategorized|Comments Off on Senators Introduce Bi-Partisan Bill To Increase SEC Penalties