S.E.C., Dodd-Frank and Whistle-Blower Office

 

Whistleblowers who report misconduct have also faced possible lawsuits from employers for violating confidentiality agreements. But new SEC whistleblower rules suggest that practice may have to change. Dow Jones reporter Suzanne Barlyn discusses with Gary Aguirre, a whistleblower lawyer

Wall Street reform law provides new Whistleblower incentives to report suspected securities fraud. That could lead to more work for compliance departments, as Dow Jones columnist Suzanne Barlyn discusses with Richard Marshall, a lawyer for Ropes & Gray LLC in New York

Sean McKessy, Chief of the SEC Office of the Whistleblower, explains how to submit a tip, complaint or referral to the SEC – and what happens during the process.

NEW YORK TIMES ARTICLE – Facing Complaints, S.E.C. Opens Whistle-Blower Office

Leave a Reply

Your email address will not be published.