SEC
SEC Awards $24 Million to Two Whistleblowers
On August 26, the U.S. Securities and Exchange Commission (SEC) granted $24 million in whistleblower awards to two individuals. One whistleblower received $4 million while the second received $20 million. Through the SEC Whistleblower Program, qualified whistleblowers, individuals who voluntarily...
SEC Awards Nearly $100 Million to Whistleblowers as Program Passes $2 Billion Mark
On August 23, the U.S. Securities and Exchange Commission (SEC) announced whistleblower awards totaling more than $99 million. In one award order, the SEC awarded more than $98 million to two whistleblowers whose disclosures contributed to a successful SEC enforcement...
OpenAI Whistleblowers File Complaint with SEC on Illegal NDAs
Whistleblowers from OpenAI have filed a complaint with the U.S. Securities and Exchange Commission (SEC) alleging that the company is silencing employees from sharing concerns with the public and federal employees about its AI technology through its employment contracts. In...
In a First, SEC Awards Whistleblower who Appealed Denial Before Court of Appeals
For the first time, the U.S. Securities and Exchange Commission (SEC) awarded a whistleblower after the whistleblower appealed a denial before the U.S. Court of Appeals. On April 3, the SEC issued an order granting a whistleblower award of more...
SEC Grants $2.4 Million Whistleblower Award to Compliance Official
On April 25, the U.S. Securities and Exchange Commission (SEC) issued a $2.5 million whistleblower award to an individual who voluntarily disclosed original information which led to a successful enforcement action. Through the SEC Whistleblower Program, eligible whistleblowers are entitled...
Senator Grassley Calls for More Information on SEC Whistleblower Program
On April 4, Senator Charles Grassley (R-IA), Ranking Member of the Senate Committee on the Budget, wrote a letter to Gary Gensler, the Chair of the Securities and Exchange Commission (SEC), expressing concerns about delays and lack of transparency in...
SEC Accepting Whistleblower Award Claims for $81 Million Settlement for Recordkeeping Violations
On March 29, the Securities and Exchange Commission (SEC) published Notices of Covered Actions (NoCAs) for a series of related enforcement actions charging firms with widespread recordkeeping failures. The SEC charged five broker-dealers, seven dually registered broker-dealers, and four affiliated...
SEC Alleges Whistleblower Protection Violations in $300 Million Crypto Ponzi Scheme Case
On March 14, the U.S. Securities and Exchange Commission (SEC) charged 17 individuals with orchestrating a $300 million Ponzi scheme involving CryptoFX LLC. Among the charges are allegations that one of the principals behind the scheme violated the SEC’s whistleblower...
SEC’s Final Climate Disclosure Rules Will Not Combat Greenwashing, But Opens Door for Whistleblowers
On March 6, the U.S. Securities and Exchange Commission (SEC) released a new Climate Risk Disclosure Rule, which substantially waters down emissions reporting requirements for public companies compared to the version of the rule that was initially proposed in March...
SEC Sanctions JP Morgan $18 Million for Impeding Whistleblowing
On January 16, the U.S. Securities and Exchange Commission (SEC) announced an enforcement action against J.P. Morgan Securities LLC in which the company agreed to pay $18 million to settle charges that it impeded the ability of advisory clients and...
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