Search Results for "whistleblower"

New accredited investor definition
Whistleblower

Inside the SEC Whistleblower Office

An insightful look into the workings of the SEC Whistleblower Program.  The Wall Street Journal presents an article that includes excerpts from an interview with Nicole Creola Kelly, who is the SEC’s head of its whistleblower program.   She addresses the criticism in recent years in both circuit courts and […]

News

SEC Awards Whistleblower More Than $9 Million

The Securities and Exchange Commission today announced an award of more than $9 million to a whistleblower whose significant and detailed information and assistance led to a successful SEC enforcement action. After repeatedly internally reporting the… Read the Full Press Release Have a securities law question? Call New York Securities […]

SEC 2024 Broker-Dealer Examination Priorities
Enforcement Whistleblower

Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule

Feb. 3, 2023 — The Securities and Exchange Commission today announced that Activision Blizzard Inc., a video game development and publishing company, agreed to pay $35 million to settle charges that it failed to maintain disclosure controls and procedures to ensure that the company could assess whether its disclosures pertaining […]

SEC 2024 Broker-Dealer Examination Priorities
Whistleblower

SEC Issues $28 Million Award to Joint Whistleblowers

The Securities and Exchange Commission today announced an award of more than $28 million to joint whistleblowers who provided critical information and assistance in an SEC enforcement action. The joint whistleblowers’ detailed information prompted the… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]

News

SEC Awards Approximately $18 Million to Three Whistleblowers

The Securities and Exchange Commission today announced three awards totaling approximately $18 million to three whistleblowers whose information and assistance led to a successful enforcement action. The first whistleblower provided the SEC with… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

Whistleblower tip
Whistleblower

SEC Awards More Than $5 Million to Whistleblower

Jan. 13, 2023 —The Securities and Exchange Commission today announced an award of more than $5 million to a whistleblower whose information led to a successful SEC enforcement action.  The whistleblower provided a tip and additional information that helped SEC staff shape its investigative strategy, identify witnesses, and draft document […]