The Law of the Financial Markets
Monday, October 18, 2021
The Securities and Exchange Commission today announced awards of nearly $5.3 million to whistleblowers who provided information and assistance in separate enforcement proceedings. In the first order, the SEC awarded a whistleblower nearly $4 million for… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
The Securities and Exchange Commission announced an aggregate award of approximately $3 million to two whistleblowers whose information and assistance led to a successful SEC enforcement action. The whistleblowers separately and independently provided SEC staff with valuable information and ongoing assistance, which included participating in multiple interviews with the staff […]
The Securities and Exchange Commission today announced awards of approximately $13 million and $10 million to two whistleblowers whose information and assistance led to successful SEC and related actions. The whistleblowers’ substantial assistance, provided to the SEC and another federal agency, included submitting information and documents, participating in interviews, and […]
The SEC announced awards totaling approximately $22 million to two whistleblowers whose information and assistance was of crucial importance to successful SEC enforcement actions brought against a financial services firm. The first whistleblower received an award of $18 million, while the second whistleblower received a $4 million award. The larger […]
The Securities and Exchange Commission today announced an award of more than $4 million to a whistleblower who alerted SEC staff to certain violations, prompting the opening of an investigation. The whistleblower then provided substantial… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
The SEC has awarded approximately $3.6 million to a whistleblower whose information and assistance led to a successful SEC enforcement action. The SEC has awarded approximately $842 million to 157 individuals since issuing its first award in 2012. All payments are made out of an investor protection fund established by […]
The Securities and Exchange Commission today announced an award to a whistleblower totaling more than $28 million in connection with an SEC enforcement action and a related action by another federal agency. The whistleblower’s information caused… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
The SEC has announced whistleblower awards to four individuals totaling more than $31 million. In the first order, the SEC awarded almost $27 million to two claimants who provided SEC staff with new information and assistance during an existing investigation, including meeting with the staff in person on multiple days. […]
The SEC has announced awards totaling more than $3 million to two whistleblowers in separate enforcement proceedings. In the first order, the SEC awarded approximately $3.2 million to a whistleblower who alerted SEC staff to violations, identified key issues for staff to focus on, and provided subject matter expertise to […]
The Securities and Exchange Commission today announced an award of approximately $1.5 million to a whistleblower whose information and assistance led to a successful SEC enforcement action. “The whistleblower alerted the SEC to previously unknown… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
