SEC Enforcement Action Targeting Stock Promotion Schemes On April 10, 2017, the SEC announced enforcement actions against 27 individuals and entities for improper stock promotion … Continued
Accounting Fraud SEC Enforcement Action On March 3, 2017, the SEC announced that homebuilding company Desarrolladora Homex S.A.B. de C.V. (Homex) has agreed to settle … Continued
SEC Awards for Disclosures of Foreign Bribery or FCPA Violations Under the SEC Whistleblower Program, the SEC pays awards to whistleblowers who provide original information, … Continued
Qualifying for an SEC Whistleblower Award: Lessons Learned from SEC Whistleblower Award Determinations The SEC Whistleblower Program has issued more than $1.9 billion in … Continued
What is the SEC Whistleblower Program’s Form TCR? The SEC Form TCR (Tip, Complaint or Referral) is the form whistleblowers and their attorneys use … Continued
Recently, the CFTC and SEC have stepped up enforcement actions to prevent market manipulation schemes. The SEC defines manipulation as “intentional conduct designed to deceive … Continued
On February 2, 2017, the SEC charged an investment advisory business and its owner, Mark Varacchi, with stealing at least $3.9 million from investors. According … Continued
Cybersecurity SEC Enforcement Action The Securities and Exchange Commission announced on Tuesday that it had settled charges that investment adviser R.T. Jones Capital Equities Management … Continued
Leading SEC Whistleblower Lawyer Quoted About Award to Compliance Professionals An article in Law 360 titled Big Awards Pushing Compliance Pros To Be Whistleblowers discusses the impact … Continued
On November 12, 2014, the Fifth Circuit issued a seminal decision in Halliburton v. Admin. Review Bd on the scope of Sarbanes-Oxley whistleblower protection, holding … Continued
DOL ARB Defines Scope of SOX Protected Conduct In an article on the Department of Labor Administrative Review Board’s landmark decision in Sylvester v. … Continued