By
Jeff Dale2023-09-19T16:35:00
A Dallas-based commercial real estate services and investment firm agreed to pay $375,000 to settle allegations by the Securities and Exchange Commission (SEC) that its separation agreements violated whistleblower protections.
CBRE, a subsidiary of publicly traded CBRE Group, agreed to cease and desist from further violations in reaching settlement, the SEC announced in a press release Tuesday.
The agency acknowledged CBRE’s cooperation and remediation in the case, including communicating with more than 800 employees who signed the agreements.
2023-10-31T12:55:00Z By Aaron Nicodemus
Recent enforcement cases brought by the Securities and Exchange Commission regarding apparent violations of its whistleblower protection rule are proof the agency is taking compliance with the rule “very seriously,” said Enforcement Director Gurbir Grewal.
2023-09-08T20:14:00Z By Jeff Dale
Monolith Resources, a privately held energy and tech company, agreed to pay $225,000 to settle charges by the Securities and Exchange Commission it used employee separation agreements that violated whistleblower protection rules.
2023-08-04T18:14:00Z By Jeff Dale
The Securities and Exchange Commission announced awards totaling more than $104 million to seven whistleblowers whose information and assistance led to a successful enforcement action.
2025-12-09T20:40:00Z By Ruth Prickett
A compliance officer is facing charges for laundering $7 million in a complex legal case in Switzerland. Swiss prosecutors have charged Credit Suisse, and one of its former employees, with failing to maintain adequate controls.
2025-12-09T14:32:00Z By Oscar Gonzalez
The U.S. Consumer Financial Protection Bureau’s Supervision Division introduced a new “humility pledge” last month that examiners will read aloud at the start of each oversight engagement. It’s another shift in how the organization handles itself under the Trump administration.
2025-12-03T17:18:00Z By Adrianne Appel
A San Francisco-based private equity firm has agreed to pay $11.4 million to settle allegations it violated U.S. sanctions rules by handling investments for a sanctioned Russian oligarch.
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