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Dodd-Frank Act

Commodity Futures Trading Commission and SEC Issue Whistleblower Rewards; Withhold Details

While healthcare fraud remains a top priority for the Department of Justice and other governmental agencies, several other areas of fraud are also on the rise – including misconduct against the Internal Revenue Service, Securities and Exchange Commission, and the Commodities Futures Trading Commission.  All of these agencies recently implemented whistleblower regulations which were drafted [...]

By | 2018-08-01T10:16:16+00:00 June 24th, 2014|Commodities Futures Trading Fraud, SEC Fraud|

The Threat of Securities Fraud: A Global Perspective

  Several other countries have attempted to mimic the U.S. laws against securities fraud. Image source: Wikimedia.com In recent years, Congress expressed interest in mimicking the federal False Claims Act in an effort to identify, punish, and deter acts of fraud against taxpayers, investors, and the federal government as a whole in other [...]

By | 2014-01-28T20:14:19+00:00 January 28th, 2014|SEC Fraud|

The Dodd-Frank Act and FCPA Whistleblowers

The federal government uses the Foreign Corrupt Practices Act (FCPA) as a means to prosecute and punish those individuals who violate securities laws or bribe foreign officials. For instance, when someone bribes a foreign government to expand business abroad, falsifies financial records or disregards internal control guidelines under securities laws, they can be prosecuted under [...]

By | 2018-06-14T11:12:42+00:00 July 3rd, 2013|SEC Fraud|

Court Rules Employee is Entitled to Dodd-Frank Whistleblower Protections

Setting an important precedent for all SEC whistleblowers, a district court recently issued a ruling concerning the anti-retaliation provisions of the Dodd-Frank Wall Street Reform & Consumer Protection Act. Last month, the court ruled that whistleblowers need not report incidents of fraud directly to the United States Securities and Exchange Commission (SEC) in order to [...]

By | 2018-08-01T12:47:11+00:00 June 14th, 2013|SEC Fraud|

Understanding the Dodd-Frank Whistleblower Provisions

Image Source: jacobwday.blogspot.com Both the government and whistleblowers alike have historically relied on the False Claims Act as a primary tool to end to fraud. It is important to understand, however, that the False Claims Act does have limitations. The largest one being that it only applies to instances in which the United [...]

By | 2018-03-26T10:55:23+00:00 June 10th, 2013|SEC Fraud|