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Securities and Exchange Commission (SEC) › Discovery › Whistleblowers

Perkins Coie

Leveling the Playing Field? Developing Discovery Strategies in CFTC Civil Enforcement Actions

Perkins Coie on

The Commodity Futures Trading Commission’s Division of Enforcement wields immense power in civil enforcement actions. It often seeks financial sanctions, including hefty financial penalties, and injunctive relief that can...more

Perkins Coie

SEC Speaks 2016: Enforcement Agenda Goes Beyond Disclosure

Perkins Coie on

At the annual “SEC Speaks” conference held February 19-20, 2016, in Washington, D.C., the U.S. Securities and Exchange Commission’s senior leadership reviewed the agency’s efforts and priorities in 2015 and previewed upcoming...more

Eversheds Sutherland (US) LLP

SEC Order Denying Whistleblower Claim Confirms Prospective Coverage and Limited Discovery in Dodd-Frank Bounty Proceedings

Eversheds Sutherland (US) LLP on

In a recent order denying a whistleblower’s award claim,1 the U.S. Securities and Exchange Commission upheld the prospective application and discovery limitations of two of its rules implementing the Dodd-Frank Wall Street...more

Proskauer - Whistleblower Defense

SEC Inadvertently Produces Whistleblower Complaint, But Then Obtains Protective Relief

Proskauer - Whistleblower Defense on

During discovery in an SEC administrative and cease-and-desist proceeding instituted in December 2012 (pursuant to Sections 9(b) and 9(f) of the Investment Company Act of 1940)[1] the SEC Division of Enforcement (DOE)...more

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