Nicolas Morgan

Nicolas Morgan

DLA Piper

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Latest Posts › Anti-Retaliation Provisions

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Courts confirm: Dodd-Frank whistleblowers must report to the SEC, Dodd-Frank whistleblower protections do not extend to conduct...

A recent decision by the Fifth Circuit Court of Appeals has confirmed that the anti-retaliation provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act only confer protections to whistleblowers who report...more

11/21/2013 - Anti-Retaliation Provisions Dodd-Frank Extraterritoriality Rules SEC Whistleblower Protection Policies Whistleblowers

More coming soon? Latest SEC tipster award highlights risk for hedge funds, private equity firms

The SEC has issued its second-ever whistleblower award. The award went to three anonymous individuals, each of whom will receive 5 percent of the monetary sanctions ultimately collected in a case against hedge fund manager...more

6/18/2013 - Anti-Retaliation Provisions Disgorgement Dodd-Frank Fraud Hedge Funds Investors Sanctions SEC Whistleblower Awards Whistleblowers

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