FOCUS ON FINANCIAL SERVICES INDUSTRY FRAUD –Recent Developments in SEC/CFTC Whistleblower Claims

January 21, 2016 4:15pm

Thomas A. Sporkin
Partner
Buckley Sandler LLP (Washington, DC)

Erika A. Kelton
Attorney at Law
Phillips & Cohen LLP (Washington, DC)

Pierre G. Armand
Co-Chief, Civil Frauds Unit, U.S. Attorney’s Office
U.S. Attorney’s Office for the Southern Division, New York

  • Update on recent investigations and settlements
  • Review of recent awards to whistleblowers
  • Compliance officers as whistleblower
  • International reach of SEC/CFTC programs and jurisdictional challenges
  • Developments in Dodd-Frank anti-retaliation provisions