Whistleblower

Whistleblower tip
Compliance Whistleblower

Monolith Resources Settles SEC Charges Violating Whistleblower Protection Rules

Sept. 8, 2023 — The Securities and Exchange Commission (SEC) has announced settled charges against Monolith Resources LLC, a privately held energy and technology company headquartered in Lincoln, Nebraska. The charges stem from Monolith’s use of employee separation agreements that violated the SEC’s whistleblower protection rules. Protection of Whistleblowers is […]

SEC Whistleblower Program
Whistleblower

Inside the SEC Whistleblower Office

An insightful look into the workings of the SEC Whistleblower Program. Is it any surprise that Whistleblowers who are represented by securities attorneys might do better presenting tips than those who are represented by non-securities attorneys? A Look Inside the SEC Whistleblower Program Within the SEC, there exists a program […]

New accredited investor definition
Whistleblower

Inside the SEC Whistleblower Office

An insightful look into the workings of the SEC Whistleblower Program.  The Wall Street Journal presents an article that includes excerpts from an interview with Nicole Creola Kelly, who is the SEC’s head of its whistleblower program.   She addresses the criticism in recent years in both circuit courts and […]

SEC Investment Advisor
Enforcement Whistleblower

Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule

Feb. 3, 2023 — The Securities and Exchange Commission today announced that Activision Blizzard Inc., a video game development and publishing company, agreed to pay $35 million to settle charges that it failed to maintain disclosure controls and procedures to ensure that the company could assess whether its disclosures pertaining […]