Dodd-Frank
Get the latest news, stories, and whistleblower cases involving the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Stephanie Avakian, Director of SEC’s Division of Enforcement, to Conclude Tenure by End of Year
On December 10, the U.S. Securities and Exchange Commission (SEC) announced that Stephanie Avakian, the Director of the SEC’s Division of Enforcement, will conclude her tenure by the end of 2020. During Avakian’s four-year tenure, first as Co-Director and then...
Vitol Inc. to Pay CFTC $95 Million to Settle Corruption-Based Fraud and Manipulation Charges
On December 3, the U.S. Commodity Futures Trading Commission (CFTC) announced an order filing and settling corruption charges against Vitol Inc., an energy and commodities trading firm. The CFTC charged Vitol with manipulative and deceptive conduct, including foreign corruption. As...
SEC Grants Whistleblower Awards Totaling Nearly $3 Million
On December 7, the U.S. Securities and Exchange Commission (SEC) announced whistleblower awards totaling nearly $3 million issued to five individuals. The awards stem from three separate enforcement actions which relied on information provided by whistleblowers. In the first order,...
Joint SEC Whistleblowers Awarded Over $6 Million
On December 1, the U.S. Securities and Exchange Commission (SEC) announced a whistleblower award of over $6 million issued to joint whistleblowers. The whistleblowers provided the SEC with information and assistance which led to a successful SEC enforcement action as...
SEC Office of the Whistleblower Posts Eighteen New Notices of Covered Actions
On November 30, the U.S. Securities and Exchange Commission (SEC) Office of the Whistleblower posted eighteen new Notices of Covered Actions (NCAs). Each NCA relates to a specific SEC enforcement action and signals that individuals may now submit whistleblower award...
SEC Whistleblower Awarded $900,000 for Reporting Overseas Misconduct
On November 19, the U.S. Securities and Exchange Commission (SEC) announced a $900,000 whistleblower award issued to an individual who provided significant and timely information on securities law violations occurring overseas. In the Final Order for the award, the SEC...
SEC Chairman Jay Clayton to Step Down at End of Year
On November 16, Jay Clayton, Chairman of the U.S. Securities and Exchange Commission (SEC), confirmed he will end his tenure as Chairman at the end of the year. Clayton will leave the SEC as one of its longest-serving chairs. ...
SEC Whistleblower Program’s Annual Report to Congress Details Record-Setting 2020
On November 16, the U.S. Securities and Exchange Commission (SEC) Whistleblower Program released its 2020 Annual Report to Congress. The 2020 fiscal year (FY 2020) was a record-setting year for the program in a number of ways, including the number...
eSports Platform Operator Agrees to Pay $6.1 Million Penalty to SEC for Unregistred ICO
On September 15, the U.S. Securities and Exchange Commission (SEC) announced settled charges against Unikrn Inc., an operator of an online eSports gaming and gambling platform. The SEC charged Unikrn for conducting an unregistered initial coin offering (ICO) of digital...
SEC Whistleblower Awarded Over $1.1 Million for Independent Analysis
On November 13, the U.S. Securities and Exchange Commission (SEC) announced a whistleblower award of over $1.1 million. The awarded whistleblower provided independent analysis of publicly available material which led the SEC to look at new conduct during an investigation. ...
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