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NEWS

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

Republican Senators Urge Stronger Whistleblower Protections

Recently, two Committee Chairmen in the U.S. Senate sent a letter to the Acting Chairman of the Commodity Futures Trading Commission urging the CFTC to take stronger actions to protect whistleblowers.  That letter, signed by [...]

By |February 14th, 2017|Categories: Uncategorized|Comments Off on Republican Senators Urge Stronger Whistleblower Protections

Can a Whistleblower Give Company Documents to the SEC?

A question that a client may ask his or her SEC whistleblower law firm is whether he or she is allowed to turn over company documents to the SEC.  This can create a dilemma for [...]

By |February 7th, 2017|Categories: Uncategorized|Comments Off on Can a Whistleblower Give Company Documents to the SEC?