SEC
Whistleblowers Receive $16 Million from SEC
On August 9, the U.S. Securities and Exchange Commission (SEC) announced over $16 million in whistleblower awards issued to two whistleblowers who contributed to the success of the same enforcement action. The SEC awarded the first whistleblower $13 million and...
SEC Accepting Whistleblower Award Claims for Record Sanctions Against Ernst & Young
On July 29, the U.S. Securities and Exchange Commission (SEC) Office of the Whistleblower posted nineteen new Notices of Covered Actions (NoCAs). Each NoCAs signals that individuals may now submit whistleblower award applications for a specific enforcement action. One newly...
Lawyers React to Bloomberg Law “Hit Piece” on Dodd-Frank Act
On July 27, Kohn, Kohn and Colapinto (KKC) attorneys Michael Kohn, Stephen M. Kohn and David Colapinto responded to a recent Bloomberg Law article attacking the SEC Whistleblower Program. Citing the successes of the same Dodd-Frank Act criticized by Bloomberg Senior...
Model Whistleblower Act Makes Meaningful Impact
The North American Securities Administrators Association (NASAA) is an international securities-regulatory organization seeking to protect investors and promote capital markets for the benefit of all investors. Since its founding in 1919, NASAA’s membership has grown exponentially. Currently, NASAA has 67...
SEC Whistleblower Program Dishes Out $23 Million in Awards
After a few weeks with no award orders, the U.S. Securities and Exchange Commission (SEC) issued $23 million in whistleblower awards from July 15 to 19. On July 15, the SEC issued two separate whistleblower awards totaling $6 million to...
SEC Denies Whistleblower Award Claim Because Disclosure was Not Voluntary
On July 5, the U.S. Securities and Exchange Commission (SEC) issued a whistleblower award claim denial. The SEC based its denial on the fact that the individual's disclosure to the SEC was not made voluntarily. Through the SEC Whistleblower Program,...
Internal Ernst & Young Whistleblower First Disclosed Cheating Scandal
On June 28, the U.S. Securities and Exchange Commission (SEC) announced charges against Ernst & Young LLP (EY) for cheating by audit professionals on ethics exams and for withholding information from the SEC on the matter. The $100 million penalty...
SEC Fines Brinks for Restricting Whistleblowing in Contracts
On June 22, the U.S. Securities and Exchange Commission (SEC) announced settled charges with the Brink’s Company, a private security and protection company famous for its armored trucks used to transport cash, over language in confidentiality and nondisclosure agreements which...
SEC Announces First Enforcement Action by ESG Task Force
On May 23, the U.S. Securities and Exchange Commission (SEC) announced charges against BNY Mellon Investment Adviser, Inc. for misstatements and omissions about Environmental, Social, and Governance (ESG) considerations in investment decisions. The enforcement action, which requires BNY Mellon Investment...
Whistleblower Advocates Support SEC Climate Disclosure Rule Proposal
On March 21, the U.S. Securities and Exchange Commission (SEC) proposed rule changes that would require publicly traded companies to make certain climate-related disclosures, including information about climate-related risks. On April 22, Earth Day, the National Whistleblower Center (NWC) submitted a...
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