SEC
SEC Issues Over $4 Million in Whistleblower Awards
On August 2, the U.S. Securities and Exchange Commission (SEC) announced whistleblower awards totaling more than $4 million issued to four individuals who provided the agency with information and assistance about securities violations. The awards stem from two separate enforcement...
SEC Issues $2.9 Million Whistleblower Award
On July 21, the U.S. Securities and Exchange Commission (SEC) issued a whistleblower award of $2.9 million to an individual “whose information and assistance led to a successful SEC enforcement action.” Through the SEC Whistleblower Program, qualified whistleblowers are entitled...
SEC Issues $1.2 Million Whistleblower Award
On July 15, the U.S. Securities and Exchange Commission (SEC) issued a whistleblower award of $1.2 million to an individual who “provided SEC staff with valuable information and ongoing assistance,” according to the SEC’s press release. Through the SEC Whistleblower...
SEC Appoints New Director of the Division of Enforcement
On June 29, the U.S. Securities and Exchange Commission (SEC) announced that Gurbir Grewal has been appointed Director of the Division of Enforcement. Grewal currently serves as the Attorney General for the State of New Jersey and will begin his...
SEC Charges Guggenheim Securities for Violation of Whistleblower Protection Rule
On June 23, the U.S. Securities and Exchange Commission (SEC) announced it settled charges against Guggenheim Securities, LLC, a New York-based registered broker dealer, for violating whistleblower protection laws. The SEC charged Guggenheim with violating a provision of the Dodd-Frank...
SEC Whistleblower Receives Million Dollar Award
On June 24, the U.S. Securities and Exchange Commission (SEC) announced a whistleblower award of over $1 million. The whistleblower provided information and assistance that led to multiple successful enforcement actions. Through the SEC Whistleblower Program, qualified whistleblowers are entitled...
SEC Issues Over $5 Million in Whistleblower Awards
On June 21, the U.S. Securities and Exchange Commission (SEC) announced nearly $5.3 million in whistleblower awards. The awards stem from two separate enforcement actions and were issued to individuals who voluntarily provided the SEC original information which contributed to...
Whistleblowers Receive $3 Million in SEC Awards
On June 14, the U.S. Securities and Exchange Commission (SEC) issued $3 million in whistleblower awards to two individuals who provided information and assistance that led to a successful enforcement action. The whistleblowers made separate disclosures which both contributed to...
SEC Chair Gary Gensler to Deliver Keynote Remarks at National Whistleblower Day
July 30 is National Whistleblower Day, a holiday commemorating the United States’ first whistleblower law and celebrating the heroic actions of whistleblowers all over the world. The National Whistleblower Center (NWC) is hosting its annual National Whistleblower Day celebration, and...
SEC Grants Two Whistleblower Awards Totaling $23 Million
On June 2, the U.S. Securities and Exchange Commission (SEC) announced whistleblower awards totaling $23 million issued to two individuals. The whistleblowers provided information and assistance that led to a successful enforcement action by the SEC as well as a...
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