So far, the agency has awarded over $500 million to 83 individuals for their help since the first award was…
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Bloomberg Tradebook charged for order routing misrepresentations
From November 2010 to September 2018, around 6.4 million Tradebook customer orders were routed through these unaffiliated broker-dealers. The “Low…
Read MoreWhistleblower receives $2 million award from SEC
So far, the agency has awarded over $450 million to 82 individuals for their help since the first award was…
Read MoreWhistleblower receives $18 million award from SEC
So far, the agency has awarded over $448 million to 81 individuals for their help since the first award was…
Read MoreWhistleblower received $5 million award from SEC
So far, the agency has awarded over $430 million to 80 individuals for their help since the first award was…
Read MoreMerrill Lynch, Pierce, Fenner & Smith, Eagle Strategies and Cozad Asset Management ordered to reimburse investors
C. Dabney O’Riordan, Co-Chief of the Asset Management Unit said: This incredibly successful initiative led to the return of almost…
Read MoreWhistleblower awarded over $27 million
So far, the agency has awarded over $425 million to 79 individuals for their help since the first award was…
Read MoreCantor Fitzgerald to pay $3.2 million on charges for providing deficient blue sheet data
Kelly L. Gibson, Director of the SEC’s Philadelphia Regional Office commented: The SEC depends on broker-dealers to provide it with…
Read MoreSEC awards $2 million to whistleblower
So far, the agency has awarded over $398 million to 78 individuals for their help since the first award was…
Read MoreSEC awards over $1 million to whistleblowers
Norberg added about the third whistleblower: To ensure that important information about securities laws violations is reported to the…
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