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Category Archives: Whistleblower

2011 Review – Are You Aware of the Regulatory Changes Made in 2011?

For registered investment advisors, 2011 gave way to many changes as various provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) became effective. Understanding the changes made over this past year may help to confirm that your investment advisor is in compliance with the recent regulatory changes. Below is a brief [...]

 
Posted by Bryan Hill
Thursday, October 27, 2011
Labels: ADV Part 2, Form ADV, SEC, Switch from SEC to State, Whistleblower

 

Bank of America Whistleblower Judgment Highlights the Need for Investment Advisers to Have Whistleblower Policies and Procedures in Place

The Department of Labor recently required Bank of America to rehire and pay $930,000 to an employee who was fired for whistleblowing.  The employee had been leading an internal investigation looking into wire, mail and bank fraud at Countrywide Financial, which merged with Bank of America in 2008.  Shortly after the two companies merged, the [...]

 
Posted by Bryan Hill
Thursday, September 22, 2011
Labels: SEC, Whistleblower

 

SEC Director Discusses the New Whistleblower Program and the Role Internal Investigations Will Play

In a recent speech, Robert Khuzami, the Director of the Division of Enforcement for the U.S. Securities and Exchange Commission (“SEC”), discussed the SEC’s new whistleblower program and the role internal investigations will play. Pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act, the SEC has created a whistleblower program that allows the [...]

 
Posted by Bryan Hill
Tuesday, August 9, 2011
Labels: SEC, Whistleblower

 

Protecting Against Whistleblower Complaints

Under the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), the United States Securities and Exchange Commission (“SEC”) can compensate whistleblowers if they provide original information about a securities law violation.  Further, the Dodd-Frank Act gives whistleblowers protection from employer retaliation for making disclosures that are required under all rules, laws, and regulations [...]

 
Posted by Bryan Hill
Wednesday, April 20, 2011
Labels: Whistleblower

 

Investment Advisers Should Update Supervisory Procedures to Address Internal Whistleblower Complaints

Michael Loscalso, a former manager for Ameriprise Financial Inc. (“Ameriprise”), who was fired in November of 2009, has brought a suit against the company alleging his employment was wrongfully terminated when he raised concerns to company management about violations of the rules and regulations of the United States Securities and Exchange Commission (“SEC”).  The complaint filed [...]

 
Posted by Bryan Hill
Tuesday, October 19, 2010
Labels: Whistleblower

 

The Dodd-Frank Wall Street Reform and Consumer Protection Act Gives Additional Incentives and Protections to Whistleblowers

On July 23, 2010, the United States Securities and Exchange Commission (“SEC”) awarded $1 million to two individuals who provided crucial information and documents that led to the SEC’s insider trading cases against Pequot Capital.  The award was the largest paid by the SEC for information in an insider trading case.  However, a provision in [...]

 
Posted by Bryan Hill
Thursday, August 19, 2010
Labels: Whistleblower

 
  

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* RIA Compliance Consultants, Inc. ("RCC") is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.

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