Skip to content

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

SEC: What happens to whistleblower tips?

The SEC has now awarded more than $85 million to 32 whistleblowers since the whistleblower program started in 2011.

Last year it received nearly 4,000 tips — from every state and the District of Columbia, as well as 61 foreign countries.… Continue Reading

Gordon Schnell: Yes, we need whistleblower rewards

Congress could not have been any clearer in its statutory design. Nor the SEC any more outspoken in its revitalized approach to government enforcement. Whistleblower rewards work. Even more, they are an indispensable component of the modern regulatory scheme.… Continue Reading

SEC awards Paradigm Capital whistleblower $600,000 for retaliation

Candace King Weir (Image courtesy of Paradigm Capital Management)The former head trader at Paradigm Capital Management who was demoted and marginalized after reporting conflicts of interest to the SEC was awarded more than $600,000 Tuesday in the agency’s first enforcement action based on retaliation against a whistleblower.… Continue Reading

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

Two SEC whistleblowers share $875,000 award

The SEC said Tuesday it awarded two whistleblowers more than $875,000 for their tips that helped the agency bring an enforcement action.

The two individuals will split the money evenly.

The SEC didn’t release details of the enforcement action or the identities of the whistleblowers.… Continue Reading

First SEC whistleblower scores second payout

The Securities and Exchange Commission said the whistleblower who received the first award under its Dodd-Frank program more than two years ago will collect $150,000 more, thanks to the agency recovering more funds in the case.… Continue Reading