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Editors

Harry Cassin
Publisher and Editor

Andy Spalding
Senior Editor

Jessica Tillipman
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

Bill Steinman
Contributing Editor

SEC rewards ‘overseas’ whistleblower

The U.S. Securities and Exchange Commission said Tuesday it awarded an overseas whistleblower $500,000.

In a brief announcement, the SEC said the whistleblower’s “expeditious reporting” helped the agency bring a successful enforcement action.… Continue Reading

SEC awards joint whistleblowers $3 million

The Securities and Exchange Commission awarded two whistleblowers $3 million Monday for providing a tip that led to a “successful enforcement action involving an alleged securities law violation that impacted retail investors.”

The two whistleblowers submitted their tip jointly and will share the $3 million award.… Continue Reading

SEC awards whistleblower $4.5 million

The Securities and Exchange Commission awarded more than $4.5 million to a whistleblower whose tip triggered the company to launch an internal investigation and report the whistleblower’s allegations to the SEC and another agency.… Continue Reading

SEC awards $50 million to two whistleblowers

The Securities and Exchange Commission said Tuesday it awarded two whistleblowers $50 million in the same case. One award was $13 million and the other award was $37 million.

The $37 million award is the SEC’s third-biggest award ever.… Continue Reading

SEC receives 202 FCPA whistleblower tips FY2018

The SEC’s Office of the Whistleblower received 5,282 tips during FY2018, including 202 FCPA-related complaints.

Overall, tips came from individuals in 72 foreign countries and the United States.

The SEC’s fiscal year ended on September 30.… Continue Reading

Tardy SEC whistleblower earns reduced award

The Securities and Exchange Commission reduced a whistleblower award to $1.5 million Friday because the whistleblower was “culpable” and delayed reporting the misconduct for a year. 

The whistleblower provided “vital information and ongoing assistance that proved important to the overall success of an enforcement action.”

But the SEC said in Friday’s award order (pdf) the whistleblower delayed his or her report “and benefited financially during the delay.”

The reduced award underscored “the need for individuals to come forward without delay,” according to Jane Norberg, chief of the SEC’s Office of the Whistleblower.… Continue Reading

SEC awards two whistleblowers $54 million

The Securities and Exchange Commission awarded $39 million to one whistleblower Thursday and $15 million to another in the same case for information that helped the agency “bring an important enforcement action.” 

The $39 million award is the second-biggest payout under the SEC whistleblower program.… Continue Reading

CFTC awards whistleblower $30 million

The U.S. Commodity Futures Trading Commission announced an award of $30 million to a whistleblower Thursday, the biggest award ever under the CFTC’s whistleblower program.

The agency said the whistleblower “voluntarily provided key original information that led to a successful enforcement action.”

No information was released about the whistleblower or the tip they provided.… Continue Reading