SEC
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...
Ontario Securities Commission Awards Over Half a Million Dollars to Three Whistleblowers
On November 17, the Ontario Securities Commission (OSC) awarded a total of CAD $585,000 to three whistleblowers who provided the...
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...
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...
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...
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...
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...
SEC Whistleblowers Allege Financial Intermediaries Are Cheating 401ks and Pensions Out of Billions of Dollars
Three separate whistleblowers have filed disclosures with the U.S. Securities and Exchange Commission (SEC), alleging that financial intermediaries of 401ks...
Fiat Chrysler to Pay SEC $9.5 Million Penalty for Disclosure Violations
On September 28, the U.S. Securities and Exchange Commission (SEC) announced settled charges against Fiat Chrysler Automobiles N.V., a London-based...
BMW Settles SEC Charges That It Misled Investors About Retail Sales Numbers
On September 24, the U.S. Securities and Exchange Commission (SEC) announced settled charges against German auto-manufacturer BMW and two of...
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