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 […]
Search Results for "whistleblower"
SEC Awards More Than $104 Million to Seven Whistleblowers
The Securities and Exchange Commission today announced awards of more than $104 million to seven individuals whose information and assistance led to a successful SEC enforcement action and related actions brought by another agency. Today’s combined award… Read the Full Press Release Have a securities law question? Call New York […]
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 Awards More Than $12 Million to Two Whistleblowers
SEC Awards Over $12 Million to Two Whistleblowers for Their Assistance in Successful Enforcement Action March 31, 2023 – The SEC announced that it had awarded more than $12 million to two whistleblowers who had provided valuable information and assistance in a successful SEC enforcement action. The awards were made […]
SEC Awards More Than $12 Million to Two Whistleblowers
The SEC has announced that it has awarded more than $12 million to two whistleblowers who provided crucial information and assistance during a successful SEC enforcement action. This marks another milestone in the SEC’s commitment to protecting investors and the capital markets through its whistleblower program. The first whistleblower who […]
Whistleblowers Need Lawyers
By Mark J. Astarita, Esq. Navigate the SEC whistleblower process with our comprehensive guide. Learn how to report financial misconduct confidently and protect your identity. A detailed walkthrough ensures you understand each stage, empowering you to play a crucial role in maintaining integrity in the financial sector. The SEC 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 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 […]
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.
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 […]