Daily Archives: November 8, 2013, 1:06 pm

LeeAnn Ghazil Gaunt Named Chief of SEC Enforcement’s Municipal Securities Unit – Compliance Week

The SEC announced today that LeeAnn Ghazil Gaunt has been named the new chief of the Enforcement Division’s Municipal Securities and Public Pensions Unit. Gaunt fills the vacancy created by the departure of former chief Elaine C. Greenberg, who left the SEC in July 2013. via LeeAnn Ghazil Gaunt Named Chief of SEC Enforcement’s Municipal Securities Unit – Compliance Week

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Whistleblowers Coming From Compliance Departments – Risk & Compliance – WSJ

A growing number of whistleblower complaints are coming from compliance staffers as companies add employees in these areas, some attorneys say. Allegations of wrongdoing within a company often surface in the compliance department, which often is involved in internal investigations and receives employee complaints. Like other employees, compliance staff can under various statutes submit information on potential wrongdoing for whistleblower awards…

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