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Enforcement › Hedge Funds › Whistleblowers

Broker-Dealer Compliance + Regulation

Something Old, Something New: SEC Brings Action for Prohibited Principal Transactions and Retaliation Against Whistleblower

Broker-Dealer Compliance + Regulation on

Clearly signaling its intention to support whistleblowers who provide actionable evidence of wrong-doing, the SEC this week settled the first case brought under the authority granted by the Dodd-Frank Act enabling...more

Foley & Lardner LLP

SEC's Enforcement Action Against Hedge Fund Adviser for Retaliation Against a Whistleblower Highlights Challenges Employers Face

Foley & Lardner LLP on

After repeated warnings over the last few years that it had both the authority and willingness to do so, on June 16, 2014, the SEC brought its first enforcement action for retaliation against a whistleblower under the...more

Stinson - Corporate & Securities Law Blog

SEC Awards And Denies Whistleblower Claims In Hedge Fund Case

Stinson - Corporate & Securities Law Blog on

On October 26, 2011, the Commission filed an enforcement action in SEC v. Andrey C. Hicks and Locust Offshore Management, LLC, 1:11-cv-11888-RGS (D. Mass. 2011) (the “Locust Matter”). ...more

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