Today the SEC Division of Enforcement issued its annual report for FY 2020. Although the number of cases that the SEC filed declined as compared … Continued
SEC Targets Unregistered Convertible Debt Lenders and Penny Stock Dealers The U.S. Securities and Exchange Commission (SEC) is targeting convertible debt lenders and penny stock … Continued
Whistleblower retaliation lawyer Jason Zuckerman will speak at a National Business Institute webinar about Whistleblower Law and Retaliation Claims on August 12, 2020. Click here to … Continued
The North American Securities Administrators Association (NASAA) announced it released for public comment a proposed model law to help states incentivize individuals to come forward … Continued
To promote the Consumer Financial Protection Bureau’s mission of preventing consumer harm, the CFPB is working with Congress to advance legislation that would create a … Continued
In its FY 2019 annual report, the CFTC Division of Enforcement revealed that between 30 to 40% of its ongoing investigations involve some whistleblower component … Continued
Senators Baldwin, Durbin, Ernst, and Grassley introduced S. 2529, the Whistleblower Programs Improvement Act (WPIA), which would protect corporate whistleblowers who report potential securities or … Continued
An article in law.com’s Compliance Hot Spots newsletter titled SEC Tells Whistleblower: Wait a Minute reports that an anonymous whistleblower is seeking an order from the … Continued
What is Channel Stuffing? Channel stuffing is an improper revenue recognition practice in which a company fraudulently inflates its sales and earnings by sending excessive … Continued
The SEC Continues to Root Out Insider Trading Insider trading occurs when an individual buys or sells a security, in breach of a fiduciary duty or other relationship … Continued
SEC Targets Accounting Fraud in Financial Reporting In the early 2000s, the U.S. Securities and Exchange Commission (SEC) was abruptly reminded about the dangers of accounting … Continued
Washingtonian magazine named Eric Bachman and Jason Zuckerman among the top whistleblower lawyers in its December 2018 top lawyers’ edition. Washingtonian compiles its list of Washington DC’s top legal … Continued