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Anonymity

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February 19, 2020

The SEC has awarded two whistleblowers a total of almost $3 million for alerting the agency to misconduct.  The first award of over $2.2 million went to an individual whose information helped bring a successful enforcement action to an open investigation.  The second award of almost $700,000 went to an individual whose tip about a fraudulent reporting scheme helped launch an investigation.  SEC

January 7, 2021

The SEC has awarded five whistleblowers more than $1.1 million for providing information that led to three successful enforcement actions.  The first order credited three whistleblowers with information and assistance that led to two related enforcement actions; the three were awarded nearly $500,000.  The second order awarded nearly $600,000 to an individual who reported concerns internally before providing extensive assistance to SEC investigators.  The third order awarded over $100,000 to an individual who provided independent analysis of publicly available documents; this is the fifth such whistleblower this fiscal year who has granted an award.  SEC

December 7, 2020

The SEC has granted awards to five whistleblowers whose disclosures led to three successful enforcement actions.  The first award of $1.8 million was granted to a company insider who gave information about fraudulent conduct that would have been difficult to detect otherwise.  The second award of $750,000 was granted to two whistleblowers, one of whom received a waiver on TCR filing requirements by providing a tip that prompted an investigation, and the other who provided new information that resulted in additional actions being added.  The last award of $400,000 was also granted to two whistleblowers; the two individuals had provided analysis that prompted an investigation.  SEC

In an Effort to Curb Corruption, U.S. and Brazil Update Trade Agreement by Strengthening Whistleblower Protections

U.S. and Brazil flags flying together
On October 19, 2020, the U.S. and Brazil signed a Protocol on trade rules and transparency, updating their 2011 Agreement on Trade and Economic Cooperation (ATEC). The Protocol includes three annexes – one of which comprises cutting-edge provisions that are at the very forefront of recent developments in the area of whistleblower protection. Article 3 of Annex III provides specific obligations in line with both...

October 22, 2020

The SEC has awarded a record-breaking $114 million to a whistleblower whose tip and substantial, ongoing assistance helped lead to successful enforcement actions by the SEC and another agency.  This is the highest award in the history of the SEC whistleblower program, bypassing the next highest award, issued in June 2020, by over $60 million.  SEC
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