SEC Whistleblower Law Resources

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...
Katz, Marshall & Banks partner Alexis Ronickher published an article in the October 29, 2015 issue of Westlaw Journal of Securities Litigation and Regulation entitled “DOJ’s Pursuit of Individual Accountability Is Insufficient to Change Corporate Cultures That Promote Fraud.”  The article was also published in the...
What Is The Foreign Corrupt Practices Act? In addition to rewarding whistleblowers who report securities violations within the United States, the Dodd-Frank Act also requires the Securities and Exchange Commission (“SEC”) to reward whistleblowers who voluntarily provide original information regarding bribes paid to foreign...
Who Qualifies For SEC Whistleblower Rewards? In order to qualify for an SEC whistleblower award, you must voluntarily provide the SEC with original information that assists the SEC in bringing an enforcement action that results in sanctions of more than $1 million. Here are some of the more important requirements contained in...
If you have knowledge of violations of securities laws or of the Foreign Corrupt Practices Act, you might qualify for a reward under the SEC Whistleblower Program. In July 2010, Congress passed the Wall Street Reform and Consumer Protection Act—popularly known as the Dodd-Frank Act — as part of a massive overhaul of the nation’...
Katz, Marshall & Banks partners David J. Marshall and Debra S. Katz published an article in Law360 entitled “SEC Must Stop The Latest Effort To Impede Whistleblowers.” The article, published on May 13, 2013, was based around a letter the partners sent to the SEC, calling on the agency to enact...
On March 20, 2013, KMB partner David J. Marshall published an updated version of “Doing Well by Doing the Right Thing:  A Whistleblower’s Guide to the SEC Whistleblower Program and the New Rules that Can Lead to Rewards for Reporting Securities Violations.”  The new version of Marshall’s well-received primer...
On October 16, 2012, KMB partner David J. Marshall published an updated version of “Doing Well by Doing the Right Thing:  A Whistleblower’s Guide to the SEC Whistleblower Program and the New Rules that Can Lead to Rewards for Reporting Securities Violations.”  The new version of Marshall’s well-received primer on the...
Katz, Marshall & Banks partner David J. Marshall and associate Alison Asarnow published an article in the National Law Journal entitled “SEC whistleblowers Will Protect Investors and Earn Their Awards.”  The article, published on July 28, 2011, discussed the final rules that will govern the new SEC whistleblower‐reward...

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