Defendant Name: NeuStar, Inc.

Defendant Type: Public Company
SIC Code: 7375
CUSIP: 64126X20

Initial Case Details

Legal Case Name In the Matter of NeuStar, Inc.
First Document Date 19-Dec-2016
Initial Filing Format Administrative Action
File Number 3-17736
Allegation Type Other

Violations Alleged

Other
• Rule 21F-17 Exchange Act

Resolutions

First Resolution Date 19-Dec-2016
Headline Total Penalty and Disgorgement $180,000

Related Documents:

2016-268 19-Dec-2016 Press Release--Administrative Proceeding
Company Violated Rule Aimed at Protecting Potential Whistleblowers
On December 19, 2016, the SEC announced in a press release that NeuStar, Inc. violated a whisteblower protection rule in the federal securities laws. According to the SEC: NeuStar "routinely entering into severance agreements that contained a broad nondisparagement clause forbidding former employees from engaging with the SEC and other regulators 'in any communication that disparages, denigrates, maligns or impugns' the company."
34-79593 19-Dec-2016 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
On December 19, 2016, the SEC instituted a settled proceeding against NeuStar, Inc. According to the SEC: "Beginning around 2008, and continuing through approximately May 21, 2015, Respondent entered into voluntary severance agreements with employees who were leaving the company." These severance agreements violated the Whistleblower Incentives and Protection rule of the Dodd-Frank Wall Street Reform and Consumer Protection Act.