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Whistleblower Insights and Developments

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  • SEC awards whistleblower with audit responsibilities more than $300,000

    On December 14, the SEC announced a more than $300,000 whistleblower award in connection with a successful enforcement action. According to the redacted order , in connection with the whistleblower’s audit-related responsibilities, the whistleblower became aware of potential securities law...

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  • SEC issues whistleblower awards totaling nearly $3 million

    On December 7, the SEC announced whistleblower awards to five individuals totaling nearly $3 million for information provided in three different enforcement actions. According to the first redacted order , the SEC awarded a whistleblower nearly $1.8 million for voluntarily providing original...

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  • SEC announces whistleblower awards totaling over $6.9 million

    On December 1, the SEC announced a joint award of over $6 million to two whistleblowers whose information and assistance led to a successful SEC enforcement and related actions. According to the redacted order , the information led to “actions related to a complex [redacted] scheme involving...

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  • SEC awards $1.1 million to whistleblower

    On November 13, the SEC announced a whistleblower award of over $1.1 million in connection with a successful enforcement action. According to the redacted order , the whistleblower provided information to the agency during an active investigation that led the SEC to inquire into different conduct...

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  • SEC issues two separate whistleblower awards totaling over $4.3 million

    On November 5, the SEC announced two separate whistleblower awards totaling over $4.3 million. According to the first redacted order , the SEC awarded a whistleblower more than $3.6 million for (i) providing information that alerted enforcement staff to misconduct occurring abroad that would...

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  • SEC issues two separate whistleblower awards totaling over $38 million

    On November 3, the SEC announced a more than $28 million whistleblower award in connection with a successful enforcement action. According to the redacted order , the whistleblower (i) first reported the information internally, which prompted an internal investigation; (ii) saved the SEC time and...

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  • Whistleblower receives record $114 million award

    On October 22, the SEC announced a more than $114 million award to a whistleblower in connection with successful agency enforcement action. The SEC’s press release states that the award “consists of an approximately $52 million award in connection with the SEC case and an approximately $62 million...

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  • SEC issues $800,000 whistleblower award after reconsideration

    On October 15, the SEC announced a more than $800,000 award to a whistleblower in connection with two successful agency enforcement actions, after a request for reconsideration. According to the redacted order , the whistleblower contested a preliminary denial and after review, the SEC determined...

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  • SEC has “record-setting” whistleblower fiscal year

    On September 30, the SEC announced six new whistleblower awards to finish a “record-setting” fiscal year. In the first announcement , the SEC details an award of nearly $30 million to two whistleblowers. The first, received approximately $22 million for providing information that led SEC staff to...

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  • SEC amends whistleblower program rules

    On September 23, the SEC voted to adopt amendments to the rules governing its whistleblower program. According to the SEC, the amendments are meant to “provide greater transparency, efficiency and clarity, and to strengthen and bolster the program.” The amendments were proposed for public comment...

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