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SEC Enforcement Actions

					
The  Securities and Exchange Commission (SEC) is the United States agency with primary responsibility for enforcing federal securities laws. Whistleblowers with knowledge of violations of the federal securities laws can submit a claim to the SEC under the SEC Whistleblower Reward Program, and may be eligible to receive  monetary rewards and protection against retaliation by employers.


Below are summaries of recent SEC settlements or successful prosecutions. If you believe you have information about fraud which could give  rise to an SEC enforcement action and claim under the SEC Whistleblower Reward Program, please contact us to speak with one of our experienced whistleblower attorneys.

				

			

			
						
					
			

	
		
		

			

				
				
January 9, 2014

				 The SEC charged global aluminum producer Alcoa Inc. with violating the Foreign Corrupt Practices Act (FCPA) when its subsidiaries repeatedly paid bribes, collectively valued at more than $110M,  to government officials in Bahrain to maintain a key source of business.  Alcoa agreed to settle the SEC’s charges and a parallel criminal case by the DOJ for $384M.  SEC				 					 

						
Tagged in:
													  FCPA, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
July 17, 2015

				 The SEC announced its 18th whistleblower award since the program’s inception – this one for over $3 million, the third highest to date.  This puts the award total at over $50 million.				 					 

						
Tagged in:
													  Whistleblower Case, 
												
						

					
	
							
	
		
		
	


 			


											

						

								

									
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