Whistleblower Program

The nine justices of the U.S. Supreme Court have agreed to hear the Lawson v. FMR case, which pits two former Fidelity contract employees against ...

Word has it that some firms are attempting to steer potential whistleblowers to report internally first, while others may be crossing a legal line and ...

One-stop shopping eludes the whistleblower. Take the case of Eric Ben-Artzi. This month the former Deutsche Bank quantitative risk analyst went public with his whistleblower ...

The case pitted a fired compliance officer suing his former employer for "unlawful retaliation," using new whistleblower protections gained through Dodd-Frank reforms. Neither Clifford Jagodzinski ...

The SEC last week wired $50,000 into a bank account, representing the initial payout from the agency's new whistleblower office post-Dodd-Frank reforms. The payday for ...

Count another case in which a compliance officer claims his employer fired him merely for doing his job. This time the officer is suing his ...

An employee could elect to go to the SEC with word of possible misconduct, bypassing your internal compliance program. But if the person alerts you ...

Last month the SECannounced it would not take enforcement action against a former senior executive at AXA Rosenberg Investment Management ($283M in AUM) because of ...

Among the hundreds of cases and numerous complaints received by the SEC's Office of the Whistleblower include tips from investment advisers and even some compliance ...

Some industry employees who have gone to the SEC's whistleblower office with a complaint have told the agency that they have been fired, isolated or ...