Guest Post By: H. David Kotz H. David Kotz is a Managing Director at Gryphon Strategies, a full-service investigation firm, which he joined in January 2012 after serving for over four years as the Inspector General for the SEC. He was a guest speaker at Epstein Becker & Green’s March 7, 2012 breakfast briefing, “2012’s… Continue Reading
Tag Archives: SEC
SEC Final Rule on Dodd-Frank Whistleblower Bounty Awards and Protections Discussed in Bloomberg Article
In previous articles and postings, we have cautioned that legislative policy of the Dodd-Frank Wall Street Reform and Consumer Protection Act threatens to circumvent corporate compliance programs and drive whistleblowers having vital information outside the organization in the hope of receiving rich bounty awards. In a recent article published by Bloomberg Law Reports®, Allen Roberts discusses some… Continue Reading
SEC’s Proposed Dodd-Frank Anti-Retaliation Rules: What Is An Employer To Do?
By David W. Garland and Allen B. Roberts Major provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) will gain substance and vitality only with amplifying interpretive rules. On December 17 the period closed for submitting comments on rules proposed by the Securities and Exchange Commission (SEC) to implement whistleblower provisions added in a new… Continue Reading
