Tag: dodd-frank act

November 04, 2015 BY Mike Fox

SEC announces whistleblower award of more than $325,000

The Securities and Exchange Commission today announced a whistleblower award totaling more than $325,000 for a former investment firm employee who tipped the agency with specific information that enabled enforcement staff to open an investigation and uncover the extent of the fraudulent activity. The whistleblower provided a detailed description of the misconduct and specifically identified…

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