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 [...]
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 [...]
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 [...]
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 [...]
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 [...]
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 [...]
