Tag: dodd-frank

07

Jul2017

Supreme Court to decide if an internal complaint is enough to protect whistleblowers

July 7, 2017

Dodd-Frank protects individuals who provide “information relation to violation of the securities laws to the [SEC].” The SECC rules issued in 2011 interpret those protections to cover individuals who make disclosures internally, as well as directly to the SEC. The Second and Ninth Circuits agree with the SEC, ... Read More

28

Apr2015

Whistleblower awarded $600,000

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April 28, 2015

The whistleblower in a hedge fund advisor case recently received a $600,000 award from the U.S. Securities and Exchange Commission (SEC). The case involved allegations that the hedge fund owner made improper transactions with an affiliated broker dealer that she owned, without disclosing the affiliation to her client. The company’s ... Read More