• Home
  • About
  • ‘Enforcement 40’ for 2020
  • Webcasts
  • Enforcement Hall of Fame
  • Contact
Securities Docket
  • Class Actions
  • Criminal
  • Events
  • Features
  • Global
  • People
  • SEC
Browse: Home / 2014 / June / 16 / SEC Brings First Whistleblower Retaliation Enforcement Action – Compliance Week

SEC Brings First Whistleblower Retaliation Enforcement Action – Compliance Week

By Securities Docket on June 16, 2014, 4:01 pm

With the first case under its new authority to bring anti-retaliation enforcement actions, the Securities and Exchange Commission on Monday charged an Albany, N.Y.-based hedge fund advisory firm with engaging in prohibited transactions and then seeking retribution against the employee who reported the illicit trading activity.

via SEC Brings First Whistleblower Retaliation Enforcement Action – Compliance Week

Posted in SEC | Tagged Retaliation, Whistleblowers

« Previous Next »

Subscribe

‘Enforcement 40’ for 2020

The inside story behind the collapse of Queensland Nickel

Our Sponsors

Securities-Docket_260x125_14Sec

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives

Copyright © 2023 Securities Docket.

  • Home
  • About
  • ‘Enforcement 40’ for 2020
  • Webcasts
  • Enforcement Hall of Fame
  • Contact
  • Criminal
  • Class Actions
  • Features
  • Global
  • People
  • SEC
  • Events