- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
A former company insider whose tips helped the SEC open an investigation that led to an enforcement action was awarded more than $2.2 million. The whistleblower first reported the information to another federal agency and later provided the same information to the SEC.
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The House is considering a bill that would give the PCAOB a whistleblower system under Sarbanes-Oxley like the one operated by the SEC.
A lack of supervision and internal controls at Morgan Stanley Smith Barney allowed four of its investment advisers to steal millions from customers before the behavior was detected, the SEC said in charging the firm.
A subsidiary of McKinsey & Co. will pay nearly $123 million to the Department of Justice to settle allegations that it bribed officials in South Africa to win consulting contracts.
