SEC
SEC Continues Increased Enforcement of Whistleblower Protection Rule
On September 29, the U.S. Securities and Exchange Commission (SEC) announced settled charges against D. E. Shaw & Co., L.P.,...
Following Whistleblower Disclosure, SEC Levels Largest Ever Penalty for ESG Greenwashing Violations
On September 25, the U.S. Securities and Exchange Commission (SEC) announced settled charges against the registered investment adviser DWS Investment...
SEC Charges Yet Another Company for Violating Whistleblower Rights
On September 19, the Securities and Exchange Commission (SEC) announced settled charges against CBRE, Inc. for using an employee release...
SEC Sanctions Privately Held Company for Violating Whistleblower Protection Rule
On September 8, the U.S. Securities and Exchange Commission (SEC) announced that it had settled charges with Monolith Resources LLC,...
SEC Grants Two Whistleblower Awards Totaling $2.1 Million
On August 29, the U.S. Securities and Exchange Commission (SEC) issued two separate whistleblower awards: for $1.5 million and $600,000...
SEC Awards $18 Million to Whistleblower Who Helped Agency Recover Tens of Millions
On August 25, the U.S. Securities and Exchange Commission (SEC) announced an $18 million whistleblower award. The agency granted the...
SEC Whistleblower Office Chief Rebuts Recent Criticism of SEC Whistleblower Program
“At no point have I ever considered who the counsel is on a recommendation. It doesn’t factor into our analysis,”...
SEC Issues 4th Largest Whistleblower Award: $104 Million to 7 Individuals
On August 4, the U.S. Securities and Exchange Commission (SEC) announced that it granted a total of $104 million in...
SEC Awards $9 Million to Whistleblower Who Helped Agency Recover Millions
On July 12, the U.S. Securities and Exchange Commission (SEC) announced a $9 million whistleblower award. The agency granted the...
Former Acting Chair of SEC Calls for SEC Whistleblower Reform Bill
According to Allison Herren Lee, former Commissioner of the U.S. Securities and Exchange Commission (SEC), the SEC Whistleblower Reform Act...
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