Dodd-Frank
Get the latest news, stories, and whistleblower cases involving the Dodd-Frank Wall Street Reform and Consumer Protection Act.
SEC Awards Over $1.7 Million to Two Whistleblowers, Highlights New Filing Requirement
On February 25, the U.S. Securities and Exchange Commission (SEC) announced two separate whistleblower awards totaling more than $1.7 million. In announcing the awards, the SEC highlighted the fact that both whistleblowers complied with a new filing requirement. The new...
SEC Awards Whistleblower Over $9.2 Million for Related Actions by DOJ
On February 23, the U.S. Securities and Exchange Commission (SEC) awarded more than $9.2 million to a whistleblower whose information led to successful enforcement actions by the U.S. Department of Justice (DOJ). The whistleblower provided significant information about an ongoing...
SEC Pays Whistleblowers $3 Million in First Awards of New Administration
On February 19, the U.S. Securities and Exchange Commission (SEC) announced two whistleblower awards totaling almost $3 million. The awards, the first since President Biden appointed Allison Lee as Acting Chair of the SEC on January 21, were issued to...
Reversing Trump-Era Policy, SEC Authorizes Enforcement Staff to Launch Investigations
A recent move by the U.S. Securities and Exchange Commission (SEC) suggests the agency will be more aggressive with its enforcement efforts under the Biden administration. On February 9, SEC Acting Chair Allison Herren Lee announced she was reauthorizing senior...
SEC Charges GPB Capital for “Ponzi-like Scheme” and Whistleblower Retaliation
On February 4, the U.S. Securities and Exchange Commission (SEC) announced charges against investment adviser GPB Capital and individuals affiliated with the firm. The SEC charged the individuals, which include David Gentile, the owner and CEO of GPB Capital, with...
Recent SEC Awards Ease Some Fears Around Rule Changes to Whistleblower Program
In recent months, the U.S. Securities and Exchange Commission (SEC) has issued whistleblower awards at a record pace. In October 2020, the SEC issued a $114 million whistleblower award - the largest award in the history of its whistleblower program....
SEC Now Accepting Whistleblower Award Claims for Charges Against Robinhood
On January 29, the U.S. Securities and Exchange Commission (SEC) Office of the Whistleblower posted fourteen new Notices of Covered Actions (NCAs). Each NCA relates to a specific SEC enforcement action and signals that individuals may now submit whistleblower award...
Unlike Media, SEC Can Protect and Reward Stock Market Whistleblowers
Following a week featuring extreme price volatility of certain stocks’ trading prices, the U.S. Securities and Exchange Commission (SEC) announced on January 29 that it is “closely monitoring” the situation. Meanwhile, individuals on social media are encouraging insiders to come...
Allison Lee Appointed Acting Chair of SEC
On January 21, the U.S. Securities and Exchange Commission (SEC) announced that President Joe Biden appointed Allison Herren Lee as Acting Chair of the agency. Lee will serve as Acting Chair until the Senate confirms a new Chair. On January...
Whistleblower Complaint Leads to SEC Investigation of Exxon
The U.S. Securities and Exchange Commission (SEC) has launched an investigation of ExxonMobil Corp (Exxon), according to The Wall Street Journal. The investigation was launched in response to a whistleblower complaint filed with the SEC last fall that alleges Exxon...
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