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Searching Content indexed under Compliance by Steven Pearlman ordered by Published Date Descending.
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S.D.N.Y. Dismisses SOX and Dodd-Frank Whistleblower Claims For Lack Of Protected Activity
On June 22, 2016, Judge Daniels of the Southern District of New York dismissed SOX and Dodd-Frank whistleblower claims, ruling that Plaintiff's alleged internal complaints did not constitute protected activity, as they did not implicate securities laws, mail fraud, or wire fraud.
United States
29 Jun 2016
2
SEC Pays More Than $3 Million Whistleblower Award
On July 17, 2015, the SEC announced a whistleblower award of more than $3 million to a "company insider" whose information assisted the SEC in unveiling a "complex fraud."
United States
24 Jul 2015
3
SEC Awards Compliance Officer Whistleblower Bounty Of Approximately $1.5 Million
Earlier today, the SEC announced that it would pay an unidentified compliance officer a whistleblower bounty award of between $1.4 and $1.6 million.
United States
23 Apr 2015
4
First SEC Whistleblower Award To Former Company Officer
The SEC announced an expected award of $475,000 to $575,000 to a former company officer "who reported original, high-quality information about a securities fraud that resulted in an SEC enforcement action with sanctions exceeding $1 million."
United States
5 Mar 2015
5
Study: Does The Existence Of Whistleblowers In Enforcement Actions Mean Greater Penalties?
The presence of whistleblowers may have a meaningful impact on the outcomes of enforcement actions brought by the SEC and DOJ.
United States
6 Nov 2014
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