Following Whistleblower Disclosure, SEC Levels Largest Ever Penalty for ESG Violations
On September 25, the U.S. Securities and Exchange Commission (SEC) announced settled charges against the registered investment adviser DWS Investment ...
Tag: Breaking
Experts Highlight Need for Whistleblower Protections in Senate Hearing on AI Regulation
On September 12, 2023, the U.S. Senate Committee on the Judiciary held a hearing in which Senate Judiciary Chair Richard ...
CFTC Awards More than $15 Million to Two Whistleblowers
On September 19, the Commodity Futures Trading Commission (CFTC) issued two whistleblower awards totaling $15 million. The awards, which stem ...
SEC Charges Yet Another Company for Violating Whistleblower Rights
On September 19, the Securities and Exchange Commission (SEC) announced settled charges against CBRE, Inc. for using an employee release ...
Qui Tam Suit Leads to New York Cardiologist’s $6.5 Million Settlement over Kickback Allegations
On September 18, the United States Attorney for the Southern District of New York announced that the United States had ...
CFTC Accepting Whistleblower Award Claims for Leveraged Bitcoin Fraud Case
On September 12, the Commodity Futures Trading Commission (CFTC) posted a Notice of Covered Action (NCA) for an enforcement action ...
Following “Dangerous” Thomas Dissent, Court Filings Question Constitutionality of FCA’s Qui Tam Provisions
In a June False Claims Act (FCA) whistleblower case, Supreme Court Justice Clarence Thomas wrote a dissent containing language which ...
SEC Sanctions Privately Held Company for Violating Whistleblower Protection Rule
On September 8, the U.S. Securities and Exchange Commission (SEC) announced that it had settled charges with Monolith Resources LLC, ...
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