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SEC awards and denies whistleblower claims in hedge fund case

Leonard, Street and Deinard
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USA
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June 12 2013

On October 26, 2011, the Commission filed an enforcement action in SEC v. Andrey C. Hicks and Locust Offshore Management, LLC, 1:11-cv-11888-RGS (D

ISS charged with selling shareholder vote data; agrees to $300,000 settlement

Leonard, Street and Deinard
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USA
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May 24 2013

The SEC and Institutional Shareholder Services, Inc. (ISS) have settled public administrative and cease-and-desist proceedings initiated against

SEC agrees not to prosecute Ralph Lauren Corporation for FCPA violations

Leonard, Street and Deinard
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USA
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April 22 2013

For the first time, the SEC has entered into a Non-Prosecution Agreement (NPA) with a company relating to misconduct under the Foreign Corrupt

Don’t lie about assets under management

Leonard, Street and Deinard
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USA
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April 18 2013

Umesh Tandon, president, chief compliance officer, and sole owner of Simran Capital Management, recently agreed to a settlement with the SEC relating

SEC receives more than 3,000 whistleblower tips in FY2012

Leonard, Street and Deinard
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USA
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November 16 2012

Over the past year, the Securities and Exchange Commission received more than 3,000 whistleblower tips from all 50 states and from 49 countries, according to the agency’s 2012 Annual Report on the Dodd-Frank Whistleblower Program

FERC hits Barclays Group and four of its traders with record $500 million penalty

Leonard, Street and Deinard
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USA
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November 1 2012

On October 31, the Federal Energy Regulatory Commission proposed a record penalty of almost $500 million against the Barclays Group and four Barclays traders, charging them with manipulating prices for electricity in the Western power markets

SEC makes first whistleblower bounty award

Leonard, Street and Deinard
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USA
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August 22 2012

The SEC has announced that it has made its first award to a whistleblower under its new Section 21F whistleblower program

Sentencing Commission acts on Dodd-Frank

Leonard, Street and Deinard
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USA
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January 22 2012

The United States Sentencing Commission is considering promulgating certain amendments to the sentencing guidelines, policy statements, and commentary

Social media fraudster causes knee jerk SEC reaction

Leonard, Street and Deinard
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USA
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January 4 2012

The SEC recently commenced an enforcement action against a registered investment adviser who allegedly “offered more than $500 billion in fictitious securities through various social media websites."

SEC staff issues first whistleblower report

Leonard, Street and Deinard
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USA
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November 16 2011

Section 924(d) of the Dodd-Frank Act requires the SEC’s Office of the Whistleblower to report annually to Congress on its activities, whistleblower complaints, and the response of the SEC to such complaints