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Whistleblower Program

The SEC warned that investors "must be free to report complaints to the SEC without any interference"
SEC Chairman Gary Gensler has said TCRs are essential to the Commission's "work as a cop on the beat"
Senior American policeman showing stop hand sign.
JPMS regularly asked certain advisory clients and brokerage customers to sign a confidential release agreement that impeded the clients from disclosing potential violations of the ...
Firm required departing employees to affirm they hadn't spoken to regulators, SEC claims
Lifeguard woman girl in red cap on duty supervising swimming pool water blowing whistle on blue. Accident prevention rescue.
The Commission is aware of one former employee who was initially discouraged from communicating with Commission staff about potential violations of securities laws due to ...
Like cars whipping around a racetrack, some compliance issues have a knack of coming around again and again
Commission rushing to judgment, Republicans warn
Lavish bounties tempt whistleblower in a Washington committed to fight against 'corruption'
The Commission's program has awarded $1.3 billion to nearly 300 whistleblowers over the last dozen years
SEC Chairman Gensler
"I was pleased to support these amendments because they will help whistleblowers when eligible to receive appropriate awards for reporting potential violations of the law ...

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