LANDMARK LAWSUIT FILED AGAINST SEC TO PROTECT ALL WHISTLEBLOWERS

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SEC & DOJ Prosecutions

SEC Obtains Cease-and-Desist Order Against Muni Securities Issuer for Misstatement

In the Matter of The County of Franklin, New York, Respondent

SEC & DOJ Prosecutions

SEC Obtains Cease-and-Desist Order Against Muni Securities Obligated Persons for Misstatement

In the Matter of Lawrence & Memorial Hospital, Inc. and Lawrence & Memorial Corp., Respondents

SEC & DOJ Prosecutions

SEC Obtains Cease-and-Desist Order Against Muni Securities Issuer for Misstatement

In the Matter of Palatine Park District, Cook County, Illinois, Respondent

SEC & DOJ Prosecutions

SEC Obtains Cease-and-Desist Order Against Muni Securities Issuer for Misstatements

In the Matter of Sanitary District of the City of Gary, Indiana, Respondent

SEC & DOJ Prosecutions

SEC Obtains Cease-and-Desist Order Against Muni Securities Obligated Person for Omission

In the Matter of Syracuse University, Respondent

SEC & DOJ Prosecutions

RIA Ordered to Cease-and-Desist, Censured and Fined on Pay-to-Play Charge

In the Matter of The Banc Funds Company, L.L.C., Respondent

SEC & DOJ Prosecutions

Investment Adviser Ordered to Cease-and-Desist, Pay Disgorgement of Fees and a Fine in Equal Amount, and Barred for Concealing Fund Losses

In the Matter of Daniel N. Ginsparg, Respondent

SEC & DOJ Prosecutions

Cease-and-Desist Order, Censure and Fine in RIA Failure to Conduct Reviews Case

In the Matter of Dupree Financial Group, LLC, Respondent

SEC & DOJ Prosecutions

Investment Adviser Barred for Marketing Program Involving Unsuitable Trading

In the Matter of Gregory L. Merrick, Respondent

SEC & DOJ Prosecutions

SEC Bars Accounting Firm from Auditing U.S. Issuers Based in China

In the Matter of EFP Rotenberg, LLP and Nicholas R. Bottini, CPA, Respondents

Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal, NPR and The New Yorker
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