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Searching Content indexed under Securities by Aaron Katz ordered by Published Date Descending.
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SEC Announces A Maximum Whistleblower Award To An Employee Who Faced Employment Retaliation As A Consequence Of Reporting Dodd-Frank Act Violations To The Commission
In June of last year, Paradigm Capital Management agreed to pay the SEC nearly $2 million to settle allegations that it violated the Dodd-Frank Act's conflict-of-interest rules...
United States
5 May 2015
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SEC Imposes Fine On KBR For Violating Dodd-Frank Whistleblower Protection Rule
On April 1, 2015, the U.S. Securities and Exchange Commission announced the resolution of its first enforcement action against a company for violations of the whistleblower protection provisions of the Dodd-Frank Act regulations.
United States
7 Apr 2015
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