SEC
Survey: Whistleblower programs aid financial compliance, but some efforts fall short
Whistleblower programs are “an important check on a firm’s compliance,” according to a survey of nearly 200 “financial services executives.” The survey, conducted annually by the consultants at the firm Duff & Phelps, is designed to provide “a view into how...
Memo to C-suite: Don’t silence whistleblowers. Do consider becoming one.
Whistleblower protection has changed dramatically in the past 15 years, says Stephen M. Kohn, chair of the National Whistleblower Center. Writing in the international publication “Ethical Boardroom,” Kohn spells out the changes and what they mean to those on governing...
60 Minutes: Danske whistleblower says bank ignored evidence of money laundering
Danske Bank whistleblower Howard Wilkinson testifies during hearing at the EU Parliament Brussels, Belgium November 21, 2018. The news program 60 Minutes had a piece on the Danske bank scandal and whistleblower Howard Wilkinson on Sunday. He exposed Russian money...
Facebook isn’t safe for reptiles. Smugglers busted in Java had five big lizards for sale
Wildlife trafficking on Facebook took a hit last week, with Agence France-Press (AFP) reporting that five men were arrested in Indonesia in connection with selling Komodo dragons and other wild animals through Facebook According to AFP: The vast Southeast Asian...
$50 million for two SEC whistleblowers who exposed conflict-of-interest problems at JPMorgan
Two SEC whistleblowers have been awarded a total of $50 million for exposing conflict-of-interest problems with investment advisors at JPMorgan Chase Bank The Securities and Exchange Commission announced the awards but did not offer any details of the case. However, lawyers...
NWC Meets with SEC to Strongly Oppose “Caps” on SEC Whistleblower Rewards
On Wednesday, December 12, 2018, National Whistleblower Center (NWC) Executive Director Stephen M. Kohn made a formal presentation to representatives from the U.S. Securities and Exchange Commission (“SEC”) opposing the proposed SEC rule limiting awards in major fraud cases. Kohn...
SEC Whistleblower Program Pays Whistleblowers a Record $168 Million in 2018
The Securities and Exchange Commission’s (SEC) recently published its annual report on the SEC Whistleblower program. According to the report, in 2018 the SEC paid the largest amount of whistleblower awards in the program’s history, with payouts totaling $168 million....
Bank Whistleblower Releases Contents to Danske Bank Secrecy Agreement
Danske Bank whistleblower Howard Wilkinson and whistleblower attorney Stephen M. Kohn testify during hearing at the EU Parliament Brussels, Belgium November 21, 2018. https://www.whistleblowers.org Whistleblower’s Lawyer Calls for End to NDAs that Restrict Rights of Whistleblowers to Report Crimes to Law...
SEC Receives Extensive Criticism in Comments on Proposed Changes to Whistleblower Program
U.S. Securities and Exchange Commission Photo credit Diego Radzinschi Washington, D.C. – September 21, 2018. The public comment period for the U.S. Securities and Exchange Commission (“SEC”) proposed amendments to the rules governing its successful whistleblower program closed on Tuesday,...
Whistleblower Advocacy Group Requests SEC Extend Public Comment Period on Controversial Changes to Whistleblower Program
Full transparency needed evaluate the Commission's proposed rules. Washington, D.C. September 17, 2018. Today the National Whistleblower Center (NWC), the nation’s leading whistleblower advocacy group, formally requested the U.S. Securities Exchange Commission (SEC) to extend the public comment period for...
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