David L. Axelrod

axelrodd@ballardspahr.com | 215.864.8639 | view full bio

David is a former Supervisory Trial Counsel at the SEC’s Philadelphia Regional Office and a former federal prosecutor. His practice focuses on representing companies and individuals under investigation by government agencies, including the DOJ and SEC, concerning alleged violations of state and federal law, including securities laws and the FCPA, as well as antitrust matters. David also helps FinTech companies, including cryptocurrency (i.e., Bitcoin) issuers, navigate a wide range of regulatory issues and obstacles.

As a federal prosecutor, David prosecuted investigated and prosecuted a number of cases involving money laundering and violations of the BSA.

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The Securities and Exchange Commission (SEC) has recently announced settlements with a number of companies whose separation agreements or internal policies the SEC viewed as impeding employees’ participation in the SEC’s whistleblower program, including privately-held companies not otherwise regulated by the SEC.

The Upshot

  • The SEC’s whistleblower program gives broad protections to individuals seeking to report potential violations of the securities laws, and has been aggressively enforced since its adoption in 2011.
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