Tag: Whistleblower Lawyer

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
Whistleblower

SEC Issues $28 Million Award to Joint Whistleblowers

The Securities and Exchange Commission today announced an award of more than $28 million to joint whistleblowers who provided critical information and assistance in an SEC enforcement action. The joint whistleblowers’ detailed information prompted the… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]

Whistleblower tip
Whistleblower

SEC Awards More Than $5 Million to Whistleblower

Jan. 13, 2023 —The Securities and Exchange Commission today announced an award of more than $5 million to a whistleblower whose information led to a successful SEC enforcement action.  The whistleblower provided a tip and additional information that helped SEC staff shape its investigative strategy, identify witnesses, and draft document […]