‘Enforcement 40’ for 2020
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By Securities Docket on June 9, 2016, 1:08 pm
Today, the SEC announced yet another blockbuster whistleblower award–more than $17 million to a former company employee who the SEC credited with submitting a detailed tip that “substantially advanced the agency’s investigation and ultimate enforcement action.” In the past month alone, five whistleblowers have received a total of more than $26 million. via With latest […]
By Securities Docket on June 9, 2016, 10:32 am
Last month the United States Court of Appeals for the Eleventh Circuit held in SEC. v. Graham et al that the five-year statute of limitations in 28 USC §2462 applies to SEC claims for disgorgement or declaratory relief. Although Graham is not binding outside of the Eleventh Circuit, it represents a significant challenge to the […]
By Securities Docket on June 9, 2016, 10:13 am
The SEC, in the last two years, has returned to bread and butter accounting fraud cases. In 2015, the SEC brought enforcement actions against 191 defendants, an increase over 2014. With this renewed focus, companies face significant risks, along with accountants, auditors and audit committees. via The SEC’s Return to Accounting Fraud Enforcement – Corruption, […]
By Securities Docket on June 9, 2016, 9:29 am
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