Dodd-Frank Act whistleblower Archives

Whistleblower Attorney Dallas Hammer Interviewed by Bloomberg About Dodd-Frank Protected Whistleblowing

Bloomberg Law Securities Law Daily interviewed whistleblower attorney Dallas Hammer about the scope of protected whistleblower under the Dodd-Frank Act for an article titled High Court Petitioned on Whistle-Blower Retaliation … Continued

EB-5 Visa Scandal Underscores the Critical Role Whistleblowers Play in Exposing EB-5 Fraud

$50M EB-5 Visa Scandal On April 5, 2017, federal authorities raided a business run by a California attorney and her father that is suspected of … Continued

SEC Scrutinizes “Fake News” Stock Promotion Schemes

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

SEC Whistleblower Program: Exposing Insider Trading

SEC’s Increased Focus on Insider Trading On March 23, 2017, a New York federal judge granted a temporary asset freeze against the assets of a … Continued

Ninth Circuit Holds that Dodd-Frank Protects Internal Whistleblowing

UPDATE: In Digital Realty Trust, Inc. v. Somers, the Supreme Court clarified the scope of the whistleblower protection provision of the Dodd-Frank Act. Click here to … Continued

Securities Fraud Enforcement Action Prompts the Question: What Was the Company Smoking?

On March 9, 2017, the SEC charged a California-based marijuana company, Medbox, with securities fraud for falsely reporting “record” revenue numbers to investors and claiming … Continued

5 Tips for SEC Whistleblowers to Get SEC Whistleblower Awards

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

Court Rules that Whistleblowers Can Use Confidential Company Documents to Expose Fraud

A whistleblower achieved a significant win on a critical challenge that nearly all corporate whistleblowers often face – whether they can use confidential company documents … Continued

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

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

A Tale of Two Whistleblowers: Lessons Learned from December 2016 SEC Whistleblower Award

On December 5, 2016, the SEC issued an award determination resolving two whistleblowers’ claims based on the same action against the same entities. One whistleblower … Continued

Whistleblowers Help CFTC Obtain Record Penalties for Commodities Fraud

On November 21, 2016, the CFTC released its annual enforcement results for FY 2016. According to the report, the agency filed 68 enforcement cases and … Continued

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