Whistleblower Program

A peer shares the firm's SEC document request letter. The firm had never been examined before. A topic pursued by examiners was how the firm ...

Whistleblower awards from the CFTC’s Whistleblower Office have been particularly paltry in relation to the agency’s SEC counterpart. The program took a big step up ...

The award is the largest made by the CFTC’s Whistleblower Program to date and the third award to a whistleblower who provided valuable information about ...

The troubles for John Verble, a rep at Morgan Stanley’s office in Knoxville, Tenn., began when a colleague spotted him “getting into a black sedan ...

The whistleblower programs established at both the SEC and the CFTC in the wake of the Dodd-Frank Act are alive and well. Last week, the ...

The CFTC can also pay awards based on monetary sanctions collected by other authorities in actions that are related to a successful CFTC enforcement action, ...

No details of the case in this release from the CFTC.

An appeals court has ruled that Dodd-Frank anti-retaliation protections extend to whistleblowers who report their allegations to their firm but not to the SEC.   ...

Confidentiality agreements that attempt to silence potential SEC whistleblowers may violate rule 21F-17 which prevents firms from impeding communications with the commission about securities law ...

If a court case didn’t turn out like the SEC wanted, the Commission took matters into its own hands Aug. 5 by releasing an interpretation ...