Legal Insights & Updates

The SEC Whistleblower Program protects employees who report securities law violations from unlawful retaliation under the Dodd-Frank Act anti-retaliation provision.

The Department of Justice prosecutes securities fraud under 18 U.S.C. Section 1348, with penalties including up to $5,000,000 in fines or imprisonment up to 20…

Receiving notification that you or your company faces an SEC investigation is deeply concerning. Two critical steps include securing legal representation and cooperating appropriately.

Self-reporting to the SEC represents a critical compliance decision for companies. The SEC actively encourages voluntary disclosure through incentives and enforcement actions.

Rule 10b5-1 establishes the framework for insider trading offenses and provides a defensive mechanism for corporate insiders who execute trades on a predetermined schedule.

FINRA possesses extensive power to examine broker-dealers and individual brokers. When violations are discovered, FINRA can levy penalties or prohibit brokerage professionals from serving retail…

The SEC has increasingly offered deferred prosecution agreements to companies and individuals accused of securities law violations as an alternative to litigation.

The SEC whistleblower program operates under the Dodd-Frank Act, enabling individuals to report securities law violations with structured protection and financial incentives.

Section 20(a) of the Securities Exchange Act imposes liability on corporate executives and shareholders for acts of the companies they oversee.

SEC and DoJ settlements often contain "neither admit nor deny" provisions that can have significant consequences. Understanding this language is critical for settlement negotiations.