Whistleblower Program

While The Robare Group’s enforcement case remains unresolved, the SEC isn’t giving up on the contention that the use of the word ‘may’ in describing ...

Testifying as part of a FINRA proceeding does not equate to providing information to the SEC, a federal judge held, declining to expand protections for ...

The Supreme Court made it clear in February that whistleblower anti-retaliation protections extend to only those who bring their allegations to the SEC (IA Watch, ...

Whistleblowers, the U.S. Supreme Court ruled in February, deserve anti-retaliation protections under Dodd-Frank only when they bring their allegations to the SEC (IA Watch, Feb. ...

While the industry continues to digest the recent Supreme Court ruling that whistleblower anti-retaliation protections apply only when reporting to the SEC (IA Watch, Feb. ...

RCW had debated the very issue decided by the court seven years ago in a story looking at whether anti-retaliation protections apply to CCOs

This exam, out of the SEC's Boston Regional Office, seeks extensive information on the adviser's private funds.

In a case that could drive whistleblowers away from you and into the arms of the SEC, the Supreme Court heard oral arguments Nov. 28 ...

The question for the U.S. Supreme Court to decide is whether an employee deserves the label of a whistleblower – and thus anti-retaliation protections – ...

A lawsuit by a former senior vice president at UBS Financial Services has become the latest battleground over the breadth of protections due employees who ...