- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jaclyn Jaeger2019-05-28T18:41:00
For the first time ever, the Securities and Exchange Commission has awarded a whistleblower whose internal reporting led to a successful SEC case and related action.
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2019-11-20T14:59:00Z By Jaclyn Jaeger
The SEC has awarded over $260,000 to three individuals who jointly submitted a tip alerting the agency to a well-concealed fraud targeting retail investors that led to a successful enforcement action. The whistleblowers were, themselves, harmed investors.
2025-05-01T22:34:00Z By Aaron Nicodemus
Compliance has long been reluctant to tap the power of its organization’s data. Some of that hesitancy is institutional, either through inertia or outright hostility. Data is often kept in siloes, overseen by different administrators, stored in different systems.
2025-05-01T21:38:00Z By Adrianne Appel
The New York Department of Financial Services (NYDFS), led by Superintendent Adrienne Harris, doesn’t intend to let up on cryptocurrency enforcement, even in the face of pullback from the federal government.
2025-04-28T21:38:00Z By Aaron Nicodemus
Whistleblowing in the United States is being buffered by uncertainty from regulators who are backing off policing corruption and consumer protections. Regulators like the Department of Justice and the Securities and Exchange Commission are being thrown into disarray by layoffs and restructuring. Still, whistleblowers will likely continue coming forward.
2024-08-27T14:09:00Z By Adrianne Appel
Two pairs of claimants will receive whistleblower awards totaling more than $98 million and $24 million, respectively, for information they provided to the Securities and Exchange Commission that led to an enforcement action.
2024-08-23T15:47:00Z By Neil Hodge
Discrimination against whistleblowers in the U.K. has risen to such a level that the government may need to actively pursue plans to afford greater legal protection, as well as introduce financial awards to compensate for their “career suicide.”
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