Category: Regulation

Whistleblower
January 24, 2022 BY Steffy Bogdanova

Four whistleblowers receive over $40 million from SEC

The third award SEC issued was $1.5 million to a whistleblower whose information shaped staff’s investigative strategy and significantly contributed to the success of the covered action. The individual provided substantial and ongoing assistance to the SEC by helping them identify issues. Creola Kelly, Chief of the SEC’s Office of the Whistleblower, said: Credible tips…

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Whistleblower
January 07, 2022 BY Steffy Bogdanova

Whistleblower receives more than $13 million from SEC

So far, the agency has awarded over $1.2 billion to a total of 238 individuals since the first award was issued in 2012. Payment of the awards is taken out of an investor protection fund set up by Congress. It is financed through monetary sanctions of security law violations paid to SEC. To be eligible…

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Whistleblower
November 23, 2021 BY Steffy Bogdanova

Whistleblowers receive more than $10.4 million from SEC

Emily Pasquinelli, Acting Chief of the SEC’s Office of the Whistleblower said: Today’s whistleblowers provided information and assistance that proved critical to several enforcement actions. Their information allowed the agency to conserve significant resources and to bring each action more efficiently. So far, the agency has awarded over $1.2 billion to a total of 233…

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Whistleblower
September 20, 2021 BY Steffy Bogdanova

SEC awards two whistleblowers with $11.5 million

Emily Pasquinelli, Acting Chief of the SEC’s Office of the Whistleblower said: This case demonstrates the Commission's continued commitment to rewarding individuals who provide high-quality tips, and particularly timely ones. These whistleblowers reported credible information that aided the Commission's investigation and their subsequent cooperation allowed the Commission to better understand the violations that formed the…

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Whistleblower
August 30, 2021 BY Steffy Bogdanova

SEC awards 5 whistleblowers with $2.6 million

SEC awarded a whistleblower over $350,000 for providing independent analysis which led to a successful enforcement action. With unusual effort and expertise developed over many years, the individual identified patterns among publicly available information which allowed the regulator to quickly identify and prevent wrongdoing and to preserve assets. Emily Pasquinelli, Acting Chief of the SEC’s…

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Whistleblower
August 03, 2021 BY Steffy Bogdanova

Whistleblowers receive more than $4 million from SEC

Emily Pasquinelli, Acting Chief of the SEC’s Office of the Whistleblower said: Today's awards underscore the important role that whistleblowers play in detecting and halting securities laws violations. Each of the whistleblowers provided high-quality information that made an important contribution to the success of the underlying enforcement action. So far, the agency has awarded over…

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Whistleblower
July 19, 2021 BY Steffy Bogdanova

Whistleblower receives more than $1 million from SEC

So far, the agency has awarded over $939 million to a total of 182 individuals since the first award was issued in 2012. Payment of the awards is taken out of an investor protection fund set up by Congress. It is financed through monetary sanctions of security law violations paid to SEC. To be eligible…

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Whistleblower
June 25, 2021 BY Steffy Bogdanova

Whistleblower receives over $1 million from SEC

So far, the agency has awarded over $938 million to a total of 179 individuals since the first award was issued in 2012. Payment of the awards is taken out of an investor protection fund set up by Congress. It is financed through monetary sanctions of security law violations paid to SEC. To be eligible…

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Whistleblower
June 22, 2021 BY Steffy Bogdanova

Whistleblower receives over $5.3 million from SEC

Emily Pasquinelli, Acting Chief of the SEC’s Office of the Whistleblower, said: These whistleblowers provided critical information that alerted Commission staff of the violations. Their information and continuing assistance played a key role in the successful resolution of the actions. So far, the agency has awarded over $937 million to a total of 178 individuals…

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Whistleblower
May 20, 2021 BY Steffy Bogdanova

Whistleblower receives over $28 million from SEC

So far, the agency has awarded over $901 million to a total of 163 individuals since the first award was issued in 2012. Payment of the awards is taken out of an investor protection fund set up by Congress. It is financed through monetary sanctions of security law violations paid to SEC. To be eligible…

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