All SEC Whistleblower Program articles
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PremiumJPMorgan whistleblower candidly shares experiences at CW2023
If compliance officers are good at their jobs, they can expect to eventually catch their employers breaking the law, whistleblower Edward Siedle told attendees during a fireside chat at Compliance Week’s 2023 National Conference.
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News Brief
SEC shatters whistleblower award records with $279M bounty
The Securities and Exchange Commission announced its largest-ever whistleblower award at nearly $279 million—more than double the agency’s previous record bounty.
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News Brief
Bipartisan bill strengthening SEC whistleblower program reintroduced
Sens. Chuck Grassley (R-Iowa) and Elizabeth Warren (D-Mass.) revived a whistleblower protection bill aimed at shielding whistleblowers from retaliation and cutting down on the time it takes to receive an award from the Securities and Exchange Commission.
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News Brief
Activision Blizzard fined $35M by SEC over workplace harassment disclosures
Activision Blizzard will pay $35 million to resolve Securities and Exchange Commission charges it violated federal securities laws by failing to adequately disclose how its ineffective response to workplace complaints was harming its ability to hire and retain skilled employees.
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News Brief
JBS accused of greenwashing in SEC whistleblower complaint
Brazilian meat processing company JBS faces accusations of issuing $3.2 billion worth of “misleading and fraudulent” sustainability bonds in a whistleblower complaint filed with the Securities and Exchange Commission.
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Article
Big penalties, admissions fuel record SEC enforcement year
The Securities and Exchange Commission collected more than $6.4 billion in enforcement penalties, fees, and interest in fiscal year 2022—the largest amount in the agency’s history and a massive increase over a transition year in 2021.
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Article
SEC reverses Clayton-era whistleblower rule changes
The Securities and Exchange Commission amended its rules to provide further incentives to whistleblowers, particularly in cases involving large payouts or multiple federal agencies.
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Article
SEC spring rulemaking agenda signals potentially hectic fall for compliance
Final action by the Securities and Exchange Commission on its climate-related disclosure rule, whistleblower amendments, unimplemented elements of Dodd-Frank, and more could all take place by the end of the year, according to the agency’s spring agenda.
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Article
New bill seeks shorter wait for SEC whistleblower awards
The “SEC Whistleblower Reform Act of 2022” proposes to shorten the wait time for a whistleblower to receive a payout by requiring the Securities and Exchange Commission to issue an initial ruling on a claim within one year of the deadline to file the claim.
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Article
Six years later, CW whistleblower subject receives award
Andrew Russo, one of five whistleblowers to share their stories in CW’s “Witness to Wrongdoing” series, has finally received an award from the Securities and Exchange Commission, nearly six years after he filed his claim.
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Article
SEC awards whistleblower extra $2M for DOJ action
The Securities and Exchange Commission announced a second award to a whistleblower after their information provided led to a successful related action by the Department of Justice.
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Article
SEC issues top-10 whistleblower award at $36M
With the end of a record fiscal year around the corner, the Securities and Exchange Commission issued yet another top-10 whistleblower award at approximately $36 million.
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Article
Compliance officials to split $1M SEC whistleblower award
Three compliance practitioners received shares of a more than $1 million whistleblower award announced by the Securities and Exchange Commission.
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Article
SEC to revisit Trump-era whistleblower changes
The Securities and Exchange Commission will review two Trump-era changes to the agency’s whistleblower program, with an eye toward encouraging individuals to report wrongdoing.
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Article
CW whistleblower series: ‘Witness to Wrongdoing’
This in-depth CW series chronicles the timeline of a whistleblower—from identifying wrongdoing to reporting and enduring subsequent hardships. Exclusive interviews impart key lessons for compliance officers seeking to become an ally to these individuals.
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Article
Guggenheim Securities fined $209K for allegedly stifling whistleblowers
New York-based broker-dealer Guggenheim Securities has agreed to pay a $208,912 civil penalty for violating SEC whistleblower protection rules regarding language in its compliance manual.
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Article
SEC tops $900M in whistleblower awards with $28M payout
The SEC has surpassed $900 million in whistleblower awards with a $28 million payout announced Wednesday. The award is said to be related to a Panasonic FCPA settlement from 2018.
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Article
SEC awards $31M to whistleblowers between 2 separate cases
The Securities and Exchange Commission announced more than $31 million in whistleblower awards related to two orders, with the largest share of $27 million split between two claimants in one case.
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Video
Video: Kudos to whistleblower chief Jane Norberg on successful SEC tenure
Aaron Nicodemus applauds outgoing SEC whistleblower chief Jane Norberg for “revolutionizing” the program and the agency, while Kyle Brasseur laments Facebook’s ethical bungling of its recent data leak.
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Article
SEC awards $50M to two whistleblowers in second-largest payout
A pair of tipsters were awarded over $50 million by the SEC in the agency’s second-largest payout under its successful whistleblower program.
