Your search for ‘SEC Whistleblower’ returned 324 results

On September 10, 2026, The Securities and Exchange Commission (“SEC”) charged a New Jersey fund operator and two companies he controls, alleging that they raised approximately $16 million from more than 200 unsophisticated investors through a Ponzi scheme beginning in January 2020. The complaint alleges misappropriation of more than $5.8 million for the operator’s personal use and Ponzi-like payments of approximately $6.6 million.

Last Friday, the U.S. Securities and Exchange Commission held its annual "SEC Speaks" conference, which offers a glimpse into the prevailing trends and priorities at the Commission.

The U.S. Securities and Exchange Commission's (SEC) once-robust whistleblower program appears to be undergoing a shift. Recent data show a sharp decline in award approvals alongside a dramatic increase in denials...

The U.S. Securities and Exchange Commission (SEC or Commission) was very active during the first half of 2023. As we discussed in prior reviews, the SEC's Division of Enforcement (Enforcement)...

In an unprecedented one-day blitz, the Chair of the Securities and Exchange Commission was joined by the SEC Enforcement Director in events in Silicon Valley and San Francisco on March 31...

The SEC Division of Enforcement's increasingly aggressive pursuit of investigations and enforcement actions will continue in 2022.

On December 7, 2022, the U.S. Senate voted unanimously to expand whistleblower incentives and strengthen whistleblower protections by passing the Anti-Money Laundering Whistleblower Improvement Act.

The Dodd-Frank Wall Street Reform and Consumer Protection Act, signed into law in 2010 and referred to as Dodd-Frank, promised to improve accountability and transparency in the financial system.

Members of WilmerHale's Dodd-Frank Whistleblower Working Group recently published an article series in the January and April editions of Bloomberg BNA's Securities Regulation & Law Report.

The Supreme Court recently clarified the scope of SEC whistleblower retaliation provisions.

In 2011, pursuant to authority granted under the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Securities and Exchange Commission (SEC or Commission) adopted rules implementing the whistleblower provisions of Section 21F of the Securities Exchange Act of 1934 (the Whistleblower Program).

The SEC settled charges with a health insurance provider for illegally using severance agreements to require outgoing employees to waive their ability to obtain monetary awards from the SEC whistleblower program.

Activision Blizzard Workplace Misconduct Allegations Transformed into Securities Violations.

The Program does not require internal reporting prior to submitting information to the OSC

Katz, Marshall & Banks partners David Marshall and Debra Katz submitted a letter to the SEC on May 8, 2013, calling for the SEC to take action to put an end to efforts by employers to impose contractual limitations on the ability of whistleblowers to submit information to the SEC.

Currently pending in the U.S. Congress is Senate Bill 2563, the Illicit Cash Act. This bipartisan bill was introduced by eight members of the Senate Banking Committee (four Republicans and four Democrats) and is intended ...

The U.S Department of Justice's (DOJ or Department) Corporate Whistleblower Awards Pilot Program (Pilot Program) has hit the ground running, reportedly triggering more than 100 reports...

On July 17, the U.S. Court of Appeals for the Fifth Circuit issued a decision in Asadi v. G.E. Energy (USA), LLC, holding that, to be a "whistleblower" under the Securities and Exchange Commission's (SEC's) whistleblower program, an employee must provide information relating to a violation of the securities laws to the SEC ..