Dodd-Frank
Get the latest news, stories, and whistleblower cases involving the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Gensler Confirmed as SEC Chair Following Pledge of Support to Whistleblower Program
On April 14, the U.S. Senate voted 53-45 to confirm Gary Gensler as the Chair of the U.S. Securities and Exchange Commission (SEC). Gensler, who was nominated by President Biden in January, takes over leadership of the agency from Acting...
Record Year Continues: SEC Whistleblower Nets $2.5 Million Award
On April 9, the U.S. Securities and Exchange Commission (SEC) issued a $2.5 million whistleblower award to an individual who provided the SEC with information and additional assistance that greatly contributed to a successful enforcement action. “The whistleblower in this...
Jane Norberg, Head of SEC Whistleblower Office, to Step Down After Highly Successful Tenure
On April 8, the U.S. Securities and Exchange Commission (SEC) announced that Jane Norberg, Chief of the SEC's Office of the Whistleblower, will be stepping down from her post and leaving the agency this month. Norberg has served as the...
SEC Whistleblower Office Posts Nine New Notices of Covered Actions
On March 31, the U.S. Securities and Exchange Commission (SEC) Office of the Whistleblower posted nine new Notices of Covered Actions (NoCAs). Each NoCA relates to a specific SEC enforcement action and signals that individuals may now submit whistleblower award...
SEC Targets Social Media Manipulation, Solicits Whistleblower Tips from Public
On March 15, the U.S. Securities and Exchange Commission (SEC) announced fraud charges and an asset freeze against a stock trader who used Twitter to spread false information about a company while profiting off the sale of that company’s stocks....
WNN Exclusive: Senator Grassley Questions SEC Chair Nominee on Commitment to Whistleblower Program
On March 12, Senator Charles Grassley (R-IA) sent a letter to Gary Gensler, President Biden’s nominee to be the next Chair of the U.S. Securities and Exchange Commission (SEC). In the letter, Senator Grassley, a longtime champion of whistleblowers, expresses...
Whistleblower Receives $1.5 Million as Flurry of Recent SEC Awards Continues
On March 9, the U.S. Securities and Exchange Commission (SEC) announced an approximately $1.5 million whistleblower award. The awarded whistleblower provided the SEC with original information that led to a successful enforcement action. This is the third SEC award issued...
SEC Signals Increased Focus on Climate Issues, Encourages Whistleblowers to Come Forward
On March 3, the U.S. Securities and Exchange Commission’s (SEC) Division of Examinations released its 2021 examination priorities. According to the release, the Division of Examinations will prioritize the examination of a wide range of practices, products, and services that...
Leading Whistleblower Attorney: The CFTC Whistleblower Program is in Crisis Because of Its Success
According to a leading whistleblower attorney, the Commodity Futures Trading Commission (CFTC) Whistleblower Program is in crisis and Congress must immediately act to save the program. In a new article, Stephen M. Kohn of Kohn, Kohn & Colapinto explains how...
New Bipartisan Bill Would Save CFTC Whistleblower Reward Fund
On February 24, Senators Charles Grassley (R-IA), Maggie Hassan (D-NH), Joni Ernst (R-IA), and Tammy Baldwin (D-WI) introduced the Commodity Futures Trading Commission (CFTC) Fund Management Act to expand the whistleblower reward fund of the CFTC. The CFTC whistleblower reward...
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