Paradigm Capital Management

Whistle While You Work: SEC Announces First Retaliation Whistleblower Award

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On June 16, 2014, the SEC issued its first-ever charge of whistleblower retaliation under section 922 of the Dodd-Frank Act, charging a hedge fund advisor and its owner with “engaging in prohibited principal transactions and then retaliating against the employee who reported the trading activity to the SEC.”

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SEC Charges Hedge Fund Adviser with Whistleblower Retaliation under Dodd-Frank

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Whistle

On June 16, 2014, the SEC issued its first-ever charge of whistleblower retaliation under section 922 of the Dodd-Frank Act, charging a hedge fund advisor and its owner with “engaging in prohibited principal transactions and then retaliating against the employee who reported the trading activity to the SEC.” READ MORE →