SEC Whistleblower Award Archives

SEC Whistleblower Program: What is the SEC Form TCR?

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

Whistleblower Rewards and Bounties for Disclosures of Market Manipulation Schemes

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

SEC Targeting Investment Adviser Fraud

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

Whistleblower Lawyer Interviewed About SEC Whistleblower Award to Compliance Professional

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

Law 360 Quotes Whistleblower Lawyer Jason Zuckerman on Seminal Sarbanes-Oxley Whistleblower Decision

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

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