SEC
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 Sets Another Fiscal Year Record with $500,000 Whistleblower Award
On March 29, the U.S. Securities and Exchange Commission (SEC) awarded more than $500,000 to a whistleblower whose disclosure allowed the SEC to shut down an ongoing fraudulent scheme. With this award, the SEC set a new record for the...
WNN Exclusive: Gensler Pledges Strong Support for SEC Whistleblowers
Washington, D.C. March 19, 2021. Mr. Gary Gensler, President Biden’s nominee to be Chairman of the U.S. Securities and Exchange Commission (SEC), committed to strongly supporting whistleblowers who file cases under the Dodd-Frank Act’s whistleblower reward law. In a series...
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...
New SEC Notices of Covered Actions Include Deutsche Bank Foreign Bribery Case
On February 26, the U.S. Securities and Exchange Commission (SEC) Office of the Whistleblower posted sixteen 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 Issues $5 Million Award to Whistleblowers Located Abroad
On March 4, the U.S. Securities and Exchange Commission (SEC) announced a whistleblower award of over $5 million issued to joint whistleblowers located abroad. The whistleblowers filed a joint whistleblower tip that led to the opening of an SEC investigation....
Two SEC Whistleblowers Receive Over $500,000
On March 1, the U.S. Securities and Exchange Commission (SEC) announced an award of over $500,000 to be split between two whistleblowers. The SEC states that the whistleblowers provided tips that “revealed an ongoing fraud and resulted in multiple SEC...
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