By Joe Mont2015-04-28T17:15:00
The SEC has awarded $600,000 to the first person ever at the center of a whistleblower retaliation case, giving him the maximum award possible for information he provided to the SEC in an investigation against a financial firm in Albany, N.Y. The firm itself was charged in 2014 with retaliating ...
2016-08-16T05:30:00Z By Joe Mont
A recent enforcement action and settlement by the Securities and Exchange Commission makes it clear that companies shouldn’t try to subvert their successful bounty programs for whistleblowers. Joe Mont reports.
2025-11-07T22:18:00Z By Adrianne Appel
First Trust Portfolios has been fined $10 million by FINRA for allegedly providing excessive meals, gifts, and other incentives to broker-dealers.
2025-11-06T19:06:00Z By Jaclyn Jaeger
Compliance Week recently interviewed Charles Duross, former Chief of the DOJ’s Fraud Section’s FCPA Unit, to talk about the Department of Justice’s recently revised monitorship policy.
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