Whistleblower Program

The Exchange Act prohibits "any person from taking any action to impede an individual from communicating directly with the Commission staff about a possible securities ...

Firms can do a better job of publicizing their hotlines. One CCO talks about it annually during compliance training and posters hang in employee breakrooms ...

The SEC isn't going to walk away from a good retaliation case, says Jordan Thomas, one of the pioneers in finreg whistleblower litigation.

“Ladies and gentlemen, these are my principles,” a great moral philosopher once said. “And if you don’t like them—well, I have others.” For the past ...

"to be eligible for an award, you must declare under penalty of perjury at the time you submit your information ... that your information is ...

The SEC declined to shorten the 120-day window before a compliance officer could lodge a whistleblower complaint

A banner year seen when it comes to the amount of financial remedies obtained

A divided SEC has approved new rules giving Commissioners discretion to raise or lower awards to whistleblowers, ending one of the most contentious rulemaking efforts ...

A New York Supreme Court justice has ordered the assets of a private fund and related broker-dealer frozen, after evidence revealed “a shocking level of ...

$60 million awarded in FY 2019