Dodd-Frank
Get the latest news, stories, and whistleblower cases involving the Dodd-Frank Wall Street Reform and Consumer Protection Act.
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 charges against the New York Mercantile Exchange (NYMEX) and former employees William Byrnes and Christopher Curtin. The CFTC charged NYMEX,...
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 of the Dodd-Frank Act does not constitute protected activity under the Dodd-Frank whistleblower protection provisions. The ruling concerns Bryan Horn...
Whistleblower Receives $9 Million CFTC Whistleblower Award
On July 27, the U.S. Commodity Futures Trading Commission (CFTC) announced a whistleblower award of approximately $9 million. The award was granted to a whistleblower “whose specific, credible, and timely tip led the Commission to open an investigation and ultimately...
President Obama, Senator Warren, Others Commemorate 10th Anniversary of Dodd-Frank Act
The most important and sweeping financial reform law since the Great Depression, the Dodd-Frank Act, marked its tenth anniversary on July 21. The Act changed the rules and regulations governing every aspect of the U.S. economy and featured historic whistleblower...
Whistleblowers Receive More Than $1 Million in CFTC Whistleblower Awards
On July 21, the U.S. Commodity Futures Trading Commission (CFTC) announced that it will award more than $1 million to two whistleblowers who voluntarily provided original information that led to a successful enforcement action by the CFTC. According to the...
Report Reveals Hundreds of Millions of Dollars Given in Federal Coronavirus Contracts to Vendors Previously Accused of Fraud
A USA Today investigation found that hundreds of millions of dollars in COVID-19-related government contracts have gone to vendors previously accused of fraud. In response to the pandemic, the federal government has given out more than $16 billion in coronavirus...
Whistleblower Receives $3.8 Million SEC Whistleblower Award
On July 14, the U.S. Securities and Exchange Commission (SEC) announced that it awarded a whistleblower $3.8 million. According to the SEC, the whistleblower’s “information and assistance helped both the SEC and another agency bring successful actions against the perpetrator...
SEC Posts Notice of Covered Action Regarding Case Against Aequitas
On June 30, the U.S. Securities and Exchange Commission (SEC) issued a Notice of Covered Action regarding the recent approximately $500 million settlement with an Oregon investment group. Aequitas Management LLC (Aequitas) and four affiliates settled SEC charges that they...
Michael Rothenberg, Venture Capitalist Whose Fraud was Originally Exposed by an SEC Whistleblower, Now Facing Criminal Charges
On June 26, the U.S. Attorney's Office for the Northern District of California announced multiple criminal charges against venture capitalist Michael Rothenberg. Rothenberg, who was well known in the tech world for his lavish parties, allegedly defrauded his investors of...
SEC Posts Notice of Covered Action Regarding Case Against Everest Capital LLC
On June 30, the U.S. Securities and Exchange Commission (SEC) issued a Notice of Covered Action regarding action against the investment adviser Everest Capital LLC (Everest) and its sole principal, Marko Dimitrijevic. The SEC settled charges of misconduct related to...
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