The U.S. Securities and Exchange Commission brought far fewer enforcement actions in its latest fiscal year. The total fell more than 20%, landing at 456…
SEC to form new enforcement team targeting accounting misconduct
The U.S. Securities and Exchange Commission is creating a new enforcement unit focused on accounting and auditing violations, signaling a shift in how U.S. regulators…
US SEC drops lawsuit against former Rio Tinto CFO, closing long-running fraud case
The U.S. Securities and Exchange Commission has formally dismissed its civil lawsuit against a former top executive of Rio Tinto, bringing an end to an…
JPMorgan Trading Practices Remain Under Scrutiny 9 Months After Whistleblower Allegations
Nine months after a whistleblower accused JPMorgan Chase of misreporting trading data to reduce regulatory capital requirements, the allegations continue to fuel debate over federal…
How the SEC’s Whistleblower Program Has Gone Too Far
The road to regulatory hell is paved with good intentions, and nowhere is this more evident than in the Securities and Exchange Commission’s whistleblower programs.…
Head of Whistleblower Agency Reinstated by Court Order
A federal judge intervened Monday to temporarily block President Donald Trump’s attempt to remove the head of the nation’s whistleblower protection agency, delivering an immediate…
Whistleblower Describes “Brown Bags of Cash” Used for Bribes by Stewart Health CEO
While patients sweltered in 99-degree heat and hospitals ran out of vital supplies, Steward Health Care’s CEO Ralph de la Torre was living large on…
How to Survive as a Whistleblower in the Private Equity Sector
When private equity insiders spot fraud or corruption, coming forward safely requires careful planning and understanding of legal protections. Here’s how to protect yourself while…
ByteDance Whistleblower Wins Right to Jury Trial in Arbitration Dispute
A federal judge has ruled that ByteDance’s former U.S. engineering chief will get his day in court to challenge the company’s attempt to force arbitration…
SEC Imposes $90 Million Penalty on Two Sigma for Whistleblower Rule Violations
The Securities and Exchange Commission (SEC) announced on January 16 that New York investment advisers Two Sigma Investments LP and Two Sigma Advisers LP have…