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SEC Whistleblower Lawyer Blog

Articles Posted in Whistleblower

On December 14, 2020, the Securities and Exchange Commission (SEC) announced that it was awarding $300,000 to one whistleblower “whose high-quality information and continuing assistance significantly contributed to a successful enforcement action.”  According to the press release, the whistleblower had “audit-related responsibilities” when they became aware of potential securities laws violations.  Individuals who audit or have compliance responsibilities usually are not eligible for whistleblower awards, but there are exceptions, such as when a whistleblower “reasonably believes that an entity is engaging in conduct that would impede the investigation”.  Jane Norberg, the SEC's Chief of the Office of the Whistleblower said “This award is an example of the important role that audit and compliance professionals can play in assisting the Commission's enforcement efforts, especially when the entity is attempting to thwart an investigation. The whistleblower attempted to remedy the conduct and provided exceptional assistance to the enforcement staff.”On December 14, 2020, the Securities and Exchange Commission (SEC) announced that it was awarding $300,000 to one whistleblower “whose high-quality information and continuing assistance significantly contributed to a successful enforcement action.”

According to the press release, the whistleblower had “audit-related responsibilities” when they became aware of potential securities laws violations. Continue reading

Our attorneys are investigating Northstar Financial Services (Bermuda) regarding possible misconduct related to their various investment and insurance products and the broker-dealers who sold them. If you have information regarding any misconduct or violations of securities laws, or if you are a victim investor, our attorneys are interested in speaking with you. Among the investments offered by Northstar are: Global Index Product Global Advantage Select Global Interest Accumulator Global Advantage Plus Series Global VIP Elite What Is Northstar Financial Services (Bermuda) Ltd.? Northstar Financial Services was created in the 1990s and offered fixed- and variable-rate annuity and investment products. Being based in Bermuda was supposed to offer tax benefits.Our attorneys are investigating Northstar Financial Services (Bermuda) regarding possible misconduct related to their various investment and insurance products and the broker-dealers who sold them. If you have information regarding any misconduct or violations of securities laws, or if you are a victim investor, our attorneys are interested in speaking with you.

Among the investments offered by Northstar are: Continue reading

A whistleblower complaint was filed in Miami-Dade Circuit Court, which accuses the nonprofit organization Shake-A-Leg Miami of tax law violations, Florida law and Fair Labor Standards violations, and county ordinance violations. The complaint was filed by Jason Krieger, who was employed as the chief operating officer of Shake-A-Leg Miami starting in January, 2020. Whistleblower attorney Scott Silver was interviewed by Law.com/Daily Business Review, and emphasized the need for quick action if the whistleblower’s allegations are true: “Immediately, begin an investigation, identify wrongdoers, seek the return of the money that was improperly taken. And ultimately, give the community the confidence that the foundation itself doesn’t have the problem and clean up the wrongdoing,” Scott said.A whistleblower complaint was filed in Miami-Dade Circuit Court, which accuses the nonprofit organization Shake-A-Leg Miami of tax law violations, Florida law and Fair Labor Standards violations, and county ordinance violations.

The complaint was filed by Jason Krieger, who was employed as the chief operating officer of Shake-A-Leg Miami starting in January, 2020. Continue reading

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