SEC Enforcement Trends: Targeting Gatekeepers and Rewarding Tipsters

Overview


Eugene Goldman predicted that, with many high-value tips being given to the SEC’s Enforcement Division, “it is clear that additional cases will flow from the whistleblower program.” He added that due to the extensive time needed to investigate and take action in cases alleging financial or accounting fraud, it is likely that whistleblower complaints raised two or three years ago will come to fruition in the coming year.