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Enforcement Action
Jaclyn Jaeger is an Editor at Compliance Week. She writes on a wide variety of topics, including ethics and compliance, regulatory enforcement matters, risk management, technology, and more. Jaeger welcomes questions and comments from readers; she can be reached via e-mail at jaclyn.jaeger@complianceweek.com.
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Enforcement Action Blog
SEC Reverses Course, Awards $400,000 to Whistleblower
Joe Mont | July 31, 2014
The Securities and Exchange Commission has reversed an earlier decision and awarded $400,000 to a whistleblower it had previously denied. The claim was initially dismissed because a self-regulatory organization was already investigating the matter. The whistleblower later persuaded officials that he or she was “engaged in diligent efforts to correct and to bring to light the underlying misconduct in this case.” More inside.
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