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Whistleblower Provision a ‘Sleeper’ for Public Cos., SEC
Whistleblower provision in Dodd bill will pose major challenges for companies and SEC.
Will Hedge Funds Cash in on SEC Whistleblower Awards?
Hedge funds paying I.R.S. whistleblowers up front in exchange for share of expected awards.
A Glimpse Into SEC Enforcement, by Way of Goldman
“Stunning” Goldman case focal point of extraordinary panel discussion.
Daily Show Video: Harry Markopolos Sits Down With Jon Stewart
Harry Markopolos appears on The Daily Show.
SEC Considering Bounty Program for Financial Fraud Tips
In her testimony yesterday before the House Subcommittee on Financial Services, SEC Chairman Mary Schapiro told Congress that for the first time, the SEC is considering offering cash bounties to private sector whistleblowers who help expose financial wrongdoing. The SEC’s current “bounty” program applies only to insider trading cases, not financial fraud. “Right now, the [...]
FINRA Introduces the “Office of the Whistleblower”
The Financial Industry Regulatory Authority (FINRA) announced on Thursday that it has established a new “Office of the Whistleblower” to expedite the review of high-risk tips by FINRA senior staff and ensure a rapid response for tips believed to have merit. The new office will be overseen by FINRA Senior Vice President Cameron Funkhouser. Stephen [...]