Whistleblower - Securities & Forensic Lawyers

Whistleblower Receives $2.5 Million Reward

On July 25, 2017, the Securities and Exchange Commission (“SEC”) announced an award of nearly $2.5 million to an employee of a domestic government agency whose whistleblower tip helped launch an SEC investigation and whose continued assistance enabled… Read More

Whistleblower Awarded Almost $4 Million by SEC

On April 25, 2017, the Securities and Exchange Commission (“SEC”) announced an award of nearly $4 million to a whistleblower who tipped the agency with detailed and specific information about serious misconduct and provided additional assistance during the… Read More

SEC Subpoenas 101 – Securities Attorneys

Receiving a Securities and Exchange Commission (“SEC”) subpoena is a new and uncomfortable experience for most market participants. A SEC subpoena is an indication that the Division of Enforcement is investigating potential violations of the federal securities laws. SEC subpoenas… Read More

Medbox, Inc. Announces SEC Investigation

Securities Lawyer 101 Blog On November 12, 2014, Medbox, Inc. (MDBX) put an end to nearly two weeks of speculation by acknowledging in its 10-Q for the period ended September 30 that the company has received a formal… Read More

Whistleblowers Gone Wild

Nearly everyone believes the Securities and Exchange Commission’s Whistleblower Program under the Dodd Frank Act is a good idea.  By the agency’s account, a considerable number of fraudulent schemes have been exposed, and devious perpetrators brought to justice thanks… Read More

SEC Charges Jeffrey Berkowitz & Others By: Brenda Hamilton Attorney

Securities Lawyer 101 Blog On May 24, 2014, the Securities and Exchange Commission announced the latest in a series of cases against microcap companies, officers, and promoters arising out of a joint law enforcement investigation to unearth penny… Read More

Astrologer Stock Broker, Gurudeo Persaud, Barred by SEC

Securities Lawyer 101 Blog On May 9, 2014, the Securities and Exchange Commission (“Commission”) announced that public administrative proceedings were instituted pursuant to Section 15(b) of the Securities Exchange Act of 1934 (“Exchange Act”) and Section 203(f) of… Read More

What Causes An SEC Investigation? Securities Lawyer 101

Securities and Exchange Commission (the “SEC”) investigations can result from a variety of factors.  SEC investigations can be triggered in ways, including during the SEC’s routine review of SEC reports and schedules, routine inspections by FINRA of clearing houses and/or brokerage firms, reports… Read More

Securities & Forensic Attorneys

SEC Enforcement Attorney

Pump and dump schemes, false financial statements, Ponzi schemes and other types of white collar crimes cost investors billions of dollars each year.  Forensic Attorneys are private attorneys who investigate these types of white collar crime. White collar crimes… Read More

SEC Report Reveals Foreigners Among Dodd Frank Whistleblowers

Securities Lawyer 101 Blog The SEC’s 2013 Annual Report to congress on the Dodd-Frank whistleblower Program shows whistleblowers from 55 countries submitted tips to the SEC. Under the SEC’s whistleblower program, if a whistle-blower’s information leads to an… Read More