SEC
SEC Whistleblower Receives $4 Million Award
On May 27, the U.S. Securities and Exchange Commission (SEC) issued a $4.2 million whistleblower award to an individual who alerted the SEC to certain securities laws violations, which led the agency to open an investigation. Through the SEC Whistleblower...
Four Individuals Receive SEC Whistleblower Awards Totaling $31 Million
On May 17, the U.S. Securities and Exchange Commission announced whistleblower awards totaling more than $31 million issued to four individuals. The awards stem from two separate enforcement actions. Through the SEC Whistleblower Program, qualified whistleblowers, individuals who voluntarily provide...
SEC Whistleblower Granted $3.6 Million Award
On May 12, the U.S. Securities and Exchange Commission (SEC) issued an approximately $3.6 million whistleblower award to an individual whose disclosure led to a successful enforcement action. According to the SEC’s award order, the whistleblower “provided new information to...
Two Whistleblowers Receive $22 Million from SEC
On May 10, the U.S. Securities and Exchange Commission (SEC) announced two whistleblower awards totaling approximately $22 million. The awards were granted to two whistleblowers who made separate disclosures about misconduct committed by a financial services firm. According to the...
SEC Whistleblower Office Posts New Notices of Covered Actions
On April 30, the U.S. Securities and Exchange Commission (SEC) posted nine new Notices of Covered Actions (NoCAs). Each NoCA relates to a successful enforcement action and signals that individuals may now file whistleblower award claims for those cases. The...
SEC Continues Record Year with Two More Whistleblower Awards
On April 23, the U.S. Securities and Exchange Commission (SEC) announced two separate whistleblower awards totaling over $3 million. In both cases, whistleblowers provided original information to the SEC that helped lead to successful enforcement actions. The awards continue a...
SEC Whistleblowers Receive $50 Million Award – Second Largest in Program History
On April 15, the U.S. Securities and Exchange Commission (SEC) announced it awarded over $50 million to joint whistleblowers who provided information that “alerted SEC staff to violations that involved highly complex transactions and would have been difficult to detect...
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...
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