SEC Awards Whistleblower $7 Million for Assisting in Investigation
Today, the Securities and Exchange Commission (SEC) announced a whistleblower award of $7 million given to an individual who provided ...
Tag: Dodd-Frank Act
Whistleblower news round-up: DOD, SEC and all the way to Africa
Securities and Exchange Commission In announcing its first two whistleblower awards of the year, the Securities and Exchange Commission notes: ...
How many whistleblowers helped the feds uncover fraud this year? Reports are still coming in.
It may be the end of the year for the rest of the world, but the fiscal year ended in ...
Commodities crime keeps the CFTC financial whistleblower program busy
The Commodity Futures Trading Commission (CFTC) financial whistleblower program has been busy, most lately announcing a $2 million award to ...
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 ...
$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 ...
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 ...
The Foreign Corrupt Practices Act is an Effective Tool to Stop Illegal Activity and Catch Illicit Profits
International tips are crucial to the SEC’s law enforcement capabilities. From 2011 to 2017, the SEC received a total of ...
Proposed SEC Rule Will Hurt Whistleblower Program
The rewards for SEC whistleblower can be potentially limited for a successful qui tam lawsuit. The SEC is proposing controversial ...
Using Whistleblower Laws to Uphold Social Responsibility Commitments
Today, we expect Wall Street to be as much a part of the community as Main Street. For corporations with ...
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