SEC Cancels Vote on Proposed Changes to Whistleblower Program
Today, the U.S. Securities and Exchange Commission (SEC) cancelled a scheduled vote on proposed changes to the agency’s whistleblower reward...
Geoff Schweller
The Bank of Nova Scotia Will Pay CFTC a Record-Setting $127.4 Million for Spoofing, False Statements, and Swap Dealer Compliance and Supervision Violations
On August 19, the Commodity Futures Trading Commission (CFTC) issued three orders filing and settling charges against The Bank of...
SEC to Vote on Controversial Amendments to Whistleblower Program
The U.S. Securities and Exchange Commission (SEC) is scheduled to meet at 9 a.m. on September 2 to vote on...
New York Mercantile Exchange to Pay CFTC $4 Million for Disclosing Material Non-Public Information
On August 4, the U.S. Commodity Futures Trading Commission (CFTC) announced that a judge had entered a consent order resolving...
SEC Charges Blockchain Services Company with Conducting Unregistered Initial Coin Offering
In May, the U.S. Securities and Exchange Commission (SEC) charged blockchain services company BitClave PTE Ltd. (BitClave) for an unregistered...
Investment Adviser to Pay SEC $30 Million as Result of Fraud Charges
On June 5, the U.S. Securities and Exchange Commission (SEC) announced final judgment on its fraud charges against investment adviser...
SEC Charges International Insurance Company with Making False Loss Reserve Disclosures
On June 17, the U.S. Securities and Exchange Commission (SEC) charged international insurance company AmTrust Financial Services, Inc. (AmTrust) and...
Senators Pen Letter in Light of Report that Workers of Color Face Higher Rates of Whistleblower Retaliation
On August 4, a group of twenty-one U.S. Senators sent a letter to the U.S. Department of Labor (DOL) and...
Dermatology Product Manufacturer to Pay SEC $37 Million as Result of Fraud Charges
On June 5, the U.S. Securities and Exchange Commission (SEC) announced final judgment on its charges against dermatology product manufacturer...
Department of Labor Rules Dodd-Frank Whistleblower Protections Do Not Cover Complaints about Theoretical Violations
On June 18, the U.S. Department of Labor Administrative Review Board (ARB) ruled that an employee’s complaint about theoretical violations...
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