SEC Whistleblower Fines For September: 15 Cases for $36 Million
At the end of every month, the SEC publishes a Notice of Covered Action (NOCA) for recent enforcement actions with monetary penalties exceeding $1 million. For September the SEC published fifteen NOCAs which featured nearly $36 million in sanctions. Once a NOCA is published, any whistleblower who provided information to the SEC on the case has 90 days […]
SEC Fines In August: Thirteen Cases For $293 million
At the end of every month, the SEC publishes a Notice of Covered Action (NOCA) for all recent enforcement actions with sanctions exceeding $1 million. This month the SEC published thirteen NOCAs which featured over $293 million in sanctions. Once a NOCA is published, any whistleblower who provided information to the SEC on the case has 90 days […]
Offensive Compliance: How To Generate Revenue From Compliance
Over the last two decades almost every industry has enjoyed a boom in innovation. Sadly, compliance seems to have been left behind. The success of the Securities and Exchange Commission (SEC) whistleblower program shows that even the government is ouspet-innovating the private sector in compliance, which is an embarrassing state of affairs. Compliance is mostly viewed a […]
Securities and Exchange Commission Under Fire For Partisanship
Early last week, the Senate confirmed President Biden’s nominations for two new Commissioners at the Securities and Exchange Commission (SEC). One of the appointments confirmed was that of Jaime Lizárraga, a longtime aide to Democratic Speaker Nancy Pelosi. In addition, Biden also confirmed a Republican spot that had been left open since the resignation of […]
How to Become An FCPA Whistleblower – Five Simple Steps
Article by Managing Attorney, John Peterson If you work at a company that sells products or services outside the U.S., you may have heard of the Foreign Corrupt Practices Act (FCPA). The FCPA is a law that prohibits paying bribes to foreign government officials (to learn more about FCPA violations read our guide here). If you know of […]
Corporate Accountability Leadership Series: Avery Kelly
When it comes to tackling bribery and corruption, corporate accountability is an important part of ensuring that wrongdoers are brought to justice, and corporations are deterred from engaging in illegal conduct. In this month’s episode of our leadership series, I had the pleasure of interviewing Avery Kelly. Avery is a Staff Attorney at the non-profit organization Corporate […]
