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Editors

Harry Cassin
Publisher and Editor

Andy Spalding
Senior Editor

Jessica Tillipman
Senior Editor

Bill Steinman
Senior Editor

Richard L. Cassin
Editor at Large

Elizabeth K. Spahn
Editor Emeritus

Cody Worthington
Contributing Editor

Julie DiMauro
Contributing Editor

Thomas Fox
Contributing Editor

Marc Alain Bohn
Contributing Editor

Bill Waite
Contributing Editor

Shruti J. Shah
Contributing Editor

Russell A. Stamets
Contributing Editor

Richard Bistrong
Contributing Editor

Eric Carlson
Contributing Editor

Posts Tagged: Andrew Ceresney

Compliance officer awarded $1.5 million under SEC whistleblower program

The Securities and Exchange Commission announced an award Wednesday of about $1.5 million to a compliance professional who provided information for an enforcement action against the whistleblower’s company.

The award went to a compliance officer “who had a reasonable basis to believe that disclosure to the SEC was necessary to prevent imminent misconduct from causing substantial financial harm to the company or investors,” the SEC said.… Continue Reading

KBR fined $130,000 for trying to gag whistleblowers

Image courtesy of KBRThe Securities and Exchange Commission announced its first enforcement action Wednesday against a company for using restrictive language in confidentiality agreements that could illegally stifle whistleblowing.

The SEC charged Houston-based KBR Inc.… Continue Reading

Wedbush accused of inadequate market access risk controls

The Securities and Exchange Commission announced charges Friday against Wedbush Securities Inc., a Los Angeles-based market access provider and two of its officials.

The SEC said poor risk controls resulted in Wedbush granting market access to overseas traders without prea-approval and without ensuring they complied with U.S.… Continue Reading

SEC names two enforcement chiefs

The enforcement division’s George CanellosThe Securities and Exchange Commission on Monday said acting director George Canellos and former federal prosecutor Andrew Ceresney will share leadership of the enforcement division as co-directors.… Continue Reading