Whistleblower Program

There may be only four SEC commissioners instead of the usual five but they’re moving toward adopting the most significant new rules aimed at investment ...

The new law carries the potential for punitive damages, back and front pay, civil money penalties and lawsuits that could publicize a firm’s dirty laundry

This document, shared with permission of author David Marshall of Katz Marshall & Banks in Washington, D.C., is designed to explain how the SEC's whistleblower ...

The intimidation against Neff, a former compliance officer, peaked two years ago, just days before she was due to hold a news conference in New ...

More than 75% of them had first “raised their concerns internally to their supervisors, compliance personnel, or through internal reporting mechanisms”

It could be considered the nightmare scenario for a compliance officer. You detect problems, lobby to fix them, report to higher ups when your immediate ...

Ironically, the government will get a big chunk of the cash back because whistleblower awards are taxable

The Commission announces a change in how it looks at its whistleblower rules

SEC staff are preparing potential revisions to two whistleblower rules to address whistleblowers coming forward

he Commission has made whistleblower awards to 14 persons in the month of August alone