HFA Icon

SEC Whistle Blower Program Increasingly Stymied

HFA Padded
Mark Melin
Published on
Updated on
Sign up for our E-mail List and Get FREE Access to Exclusive Investment E-books and More!

As the Dodd-Frank mandated whistleblower program has generated success, a new batch of legal tactics used by regulated firms has been targeting whistleblowers with increasing frequency. This has led a collation of financial reformers to take action. SEC filings SEC Enforcement

SEC Whistleblower Programs benefits employees who have information on wrongdoing

The Securities and Exchange Whistleblower Programs provides employees who have information on wrongdoing a method to anonymously report on the crimes and obtain monetary rewards regardless of nationality.  The SEC’s largest whistle blowing award was $14 million in a case that was completed in six months, a relatively short period of time. Jordan Thomas, Chair of the Whistleblower Representation Practice at...

Login required to continue reading.

Setup a free account to get access to this article (no credit card required).

View Full Article
Already a member? Log in here
HFA Padded

Mark Melin is an alternative investment practitioner whose specialty is recognizing the impact of beta market environment on a technical trading strategy. A portfolio and industry consultant, wrote or edited three books including High Performance Managed Futures (Wiley 2010) and The Chicago Board of Trade’s Handbook of Futures and Options (McGraw-Hill 2008) and taught a course at Northwestern University's executive education program.