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SEC issues over $3 million in multiple whistleblower awards
On April 23, the SEC announced whistleblower awards totaling more than $3 million in two separate enforcement actions. According to the first redacted order , the SEC awarded a whistleblower approximately $3.2 million for alerting enforcement staff to violations, identifying key issues for staff to...
In The NewsSEC awards $50 million to whistleblower
On April 15, the SEC announced an award of more than $50 million to joint whistleblowers in connection with violations that involved highly complex transactions that would have been difficult to detect without their information. According to the redacted order , the joint whistleblowers “assistance...
In The NewsSEC awards approximately $2.5 million to whistleblower
On April 9, the SEC announced an approximately $2.5 million whistleblower award in connection with a successful enforcement action. According to the redacted order , the whistleblower supplied information that led to charges related to a breach of fiduciary duties owed to investors, provided...
In The NewsSEC awards more than $500,000 to whistleblower under “safe harbor” provision
On March 29, the SEC announced a more than $500,000 whistleblower award in connection with an enforcement action. According to the redacted order , the whistleblower raised concerns about alleged securities violations internally, which prompted an investigation by the company. The company then...
In The NewsSEC issues more than $6.5 million in whistleblower awards
On March 9, the SEC announced an approximately $1.5 million whistleblower award in connection with a successful enforcement action. According to the redacted order , the whistleblower provided information that led to the opening of the investigation, and assisted enforcement staff by providing...
In The NewsSEC issues multiple whistleblower awards
On March 1, the SEC announced a more than $500,000 whistleblower award in connection with a successful enforcement action. According to the redacted order , two whistleblowers provided timely tips that revealed an ongoing fraud and formed the basis for the SEC’s action, as well as a related action...
In The NewsSEC issues multiple whistleblower awards, including award based on DOJ agreement
On February 23, the SEC announced a more than $9.2 million award to a whistleblower whose information and assistance led to successful related DOJ actions. This marks the first SEC whistleblower award based on a DOJ non-prosecution agreement or deferred prosecution agreement since amendments to the...
In The NewsSEC issues nearly $600,000 whistleblower award
On January 14, the SEC announced a whistleblower award of nearly $600,000 in connection with a successful enforcement action. According to the redacted order , the whistleblower provided new, highly valuable information during the course of the investigation, as well as substantial assistance,...
In The NewsSEC issues whistleblower awards totaling over $1.1 million
On January 7, the SEC announced whistleblower awards totaling over $1.1 million in separate enforcement actions. According to the first redacted order , the SEC awarded three whistleblowers nearly $500,000 for providing information in two related enforcement actions. Information voluntarily...
In The NewsSEC issues whistleblower awards totaling over $5.2 million
On December 22, the SEC announced a more than $1.6 million award to a whistleblower whose critical information and assistance led to a successful SEC enforcement action. According to the redacted order , the whistleblower provided ongoing assistance to SEC staff as well as “original information...
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