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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 [...]

By |January 15th, 2020|Categories: Uncategorized|Comments Off on Insider Trading: Historic US House Bill Would Clarify What It Is And When It Is Illegal

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 [...]

By |January 6th, 2020|Categories: Uncategorized|Comments Off on US Senate & House Take Up SEC Disgorgement After Kokesh: 2019 Year-In-Review Part 2

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 [...]

By |December 19th, 2019|Categories: Uncategorized|Comments Off on Senate, House & 68 IGs Unite Behind Strong Whistleblowing Policy: 2019 Year-In-Review

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 [...]

By |December 9th, 2019|Categories: Uncategorized|Comments Off on SEC Whistleblower Award Winners Have These Things In Common

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 [...]

By |November 25th, 2019|Categories: Uncategorized|Comments Off on SEC Says Co. Violated Whistleblower Protection Rules By Impeding Investors

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 [...]

By |November 15th, 2019|Categories: Uncategorized|Comments Off on DB Whistleblower Award Denial Highlights The Importance Of Having Good Counsel At The Start