SEC Whistleblower Law Resources

Katz, Marshall & Banks Partner Alexis Ronickher published an article in Corporate Compliance Insights on October 10, 2017 entitled “SEC Issues Statement on Cybersecurity.” Click here to view the article on the CCI website, or read the full text of the article below. High-profile data breaches seem to come fast and...
Contact UsFor an in-depth explanation of the nuts and bolts of the SEC Whistleblower Program, from preparing a winning “tip” to cooperating in an SEC investigation to claiming a whistleblower award, read KMB's SEC Whistleblower Practice Guide. In its sixth edition, the Guide, written by SEC whistleblower expert David J....
SEC Whistleblower Program Explained Reporting securities violations performs an important service for shareholders and investors. It might also earn you a significant monetary award. View the video below to see a brief explanation of how the SEC whistleblower program works by Katz, Marshall & Banks partner David J....
On October 6, 2016, Katz, Marshall & Banks partner Alexis Ronickher authored an article for the FCPA Blog entitled, "SEC brings its first stand-alone whistleblower retaliation action." In the article, Ms. Ronickher discussed the significance behind the U.S. Security and Exchange Comission's (SEC) recent enforcement action...
Katz, Marshall and Banks partner David Marshall authored an article for the FCPA blog on August 15, 2016, entitled, “SEC breaks new ground, bans employer-imposed waiver of right to whistleblower award.” The article discussed how the SEC's recent action imposing a $265,000 penalty on BlueLinx Holdings Inc. for requiring...
Law360’s Carmen Germaine interviewed Katz, Marshall and Banks partner David Marshall for an article for Law360 on August 11, 2016, entitled, “SEC Shows No Patience For Muzzling Whistleblowers.” The article discussed the SEC's recent settlement with an Atlanta-based construction products distributor called BlueLinx Holdings, Inc...
Katz, Marshall and Banks partners Lisa Banks and Michael Filoromo published an article in Corporate Compliance Insights entitled, "The SEC's Increasing Focus on Employer-Employee Confidentiality Agreements." The article discussed how the U.S. Security and Exchange Commission's recent rulings on confidentiality agreements that...
Katz, Marshall & Banks partner David J. Marshall coedited a comprehensive 2016 update on the anti-retaliation provision of the Sarbanes-Oxley Act (SOX) entitled the "2016 SOX Midwinter Report."  Partner Alison B. Asarnow was also a contributing author to the paper.  The 117-page white paper provides a detailed examination...
On February 18, 2016, Katz, Marshall & Banks released the 2016 comprehensive practice guides for the whistleblower programs for the U.S. Securities and Exchange Commission (SEC) and the U.S. Commodity Futures Trading Commission (CFTC). The Firm has produced our SEC Whistleblower Practice Guide annually since the inception...
Katz, Marshall & Banks partner Alexis Ronickher published an article in Health Law Daily on October 30, 2015, entitled “Strategic Perspectives: Health Care Compliance Professionals: How to Ensure Whistleblower Protection When Reporting Misconduct.”  The article discussed the steps that a health care compliance professional...

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