Anonymity
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January 14, 2020
The SEC has awarded nearly $600,000 to an anonymous whistleblower whose information and substantial assistance resulted in critical investigative leads in an open investigation, ultimately leading to a successful enforcement action. SECJanuary 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. SECDecember 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. SECDecember 1, 2020
The SEC has awarded two whistleblowers over $6 million for providing information and assistance that led to multiple successful enforcement actions by the SEC and another government agency and the forfeiture of tens of millions of dollars in ill-gotten gains. SECNovember 19, 2020
A whistleblower who reported securities fraud occurring overseas has been awarded over $900,000 by the SEC. According to the agency, an investigation into the misconduct was already underway, and the whistleblower’s timely tip led to a significant expansion of the investigation. SECNovember 13, 2020
The SEC has awarded over $1.1 million to a whistleblower who conducted an independent analysis of publicly available materials and submitted insights as a tip. The whistleblower’s important new insights led staff to expand an ongoing investigation and helped protect investor assets from dissipation by the wrongdoer. SECIn an Effort to Curb Corruption, U.S. and Brazil Update Trade Agreement by Strengthening Whistleblower Protections
Posted 11/5/20
, Carolina Gonzalez
, Carolina Gonzalez
