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Securities Fraud Policy Violations

Carlton Fields

The Chill is Gone: SEC Wants Unfettered Whistleblowers

Carlton Fields on

The SEC continues its efforts to support whistleblowers. The whistleblower program promulgated by the Commission under the Dodd-Frank Act offers rewards to individuals who report securities law violations. As we have...more

Morgan Lewis

FTC Penalizes Individual Investor for Hart-Scott-Rodino Act Violation

Morgan Lewis on

Fine serves as a reminder of the numerous HSR Act traps for the unwary investor. On July 2, the Federal Trade Commission (FTC) announced that corporate investor Barry Diller will pay $480,000 in civil penalties to...more

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