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Sec Awards $54 Million To 2 Whistleblowers To Ramp Up Regulatory Enforcement - Latest News


SEC Issues More than $54 Million to Two Whistleblowers

On September 6, 2018, the SEC Office of the Whistleblower awarded $39 million to one whistleblower and $15 million to another. The $39 million award is the second-largest award in the history of the ... read more

Whistleblowers Increasingly Shape SEC, CFTC Enforcement

Regulatory ... Recent Whistleblowing Awards The SEC’s recently announced $37 million and $13 million awards are consistent with these trends. Because the SEC only issues whistleblower awards up to 30% ... read more

A Review of Recent Whistleblower Developments - November 2018

the U.S. Securities and Exchange Commission (SEC) announced that it had awarded two unidentified whistleblowers a combined total of $54 million for their roles in two separate enforcement actions. ... read more

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SEC awards whistleblower more than US$325,000

Whistleblower awards are kept anonymous, and the SEC only ... in cases where enforcement sanctions exceed US$1 million. Last month, the Ontario Securities Commission (OSC) formally proposed ... read more


Order Awarding $54 Million to Two SEC Whistleblowers Provides Three Lessons for Whistleblowers

In other words, the whistleblower must demonstrate actual reliance [by the other agency] on the whistleblower’s original information.” Where a whistleblower’s submission leads to both an SEC ... read more

SEC Proposes Rules under Whistleblower Provisions of Dodd-Frank Act

The new provisions greatly enhance incentives by providing a bounty to whistleblowers supplying "original information" to the SEC of 10% - 30% of the monetary sanctions recovered by the government in ... read more

How to blow the whistle

Through the program, the OSC encourages you to report misconduct by submitting award-eligible information (see rule no. 2, below) either internally or to the commission. If eligible, you’ll receive ... read more

Dodd-Frank spawns cottage industry

WASHINGTON (MarketWatch) — A landmark 2,300-page financial reform law has helped spawn a burgeoning cottage industry of law firms and consultants stepping up ... $1 million. Prior to Dodd-Frank, the ... read more

Department of Insurance Recovers $2.1 Million for Insurance Policyholders in 2014, Helps Save Businesses $9.2 Million

The remaining $54.9 million ... which led to awards totaling $843,035.00. The Department of Insurance also succeeded in saving money for Delaware businesses through its Workplace Safety Program, which ... read more

The Legacy Of Madoff, A Decade Later

[2] The ... Why the SEC Whistleblower-Reward Program Is Effective, Forbes (Jul. 18, 2017). Under this program, the SEC has paid over $320 million in awards, including its highest ever in September ... read more

FINRA at 5 Years: Highlighting 7 Areas of Action

The Financial Industry Regulatory ... $54.5 million in restitution to hurt investors. FINRA expelled 99 firms from the securities industry, barred 1,647 individuals and suspended 1,992 from ... read more

SEC Awards More Than $54 Million to Two Whistleblowers

On September 6, the SEC issued a statement that it is awarding $39 million to one whistleblower and $15 million to another. The $39 million award is the second-largest in the history of the SEC’s ... read more



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