Whistleblower Program

This is the first SEC enforcement settlement in a case charging retaliation against a whistleblower. The SEC eventually awarded the unidentified whistleblower $600,000.

O'Malia suggests the CFTC automate its tips and complaints intake function or invest in enhanced market surveillance and risk analytics system.

One result of a new U.S. Supreme Court ruling affecting investment advisers may be more whistleblowers turning to the compliance department to report their complaints.Last ...

While it may sound impressive that the SEC's Office of the Whistleblower paid out more than $14 million in awards in FY 2013, consider that ...

It could be a contest without a winner. The SEC trumpeted the second award to come out of its whistleblower office but the agency first ...

The nine justices of the U.S. Supreme Court have agreed to hear the Lawson v. FMR case, which pits two former Fidelity contract employees against ...

Word has it that some firms are attempting to steer potential whistleblowers to report internally first, while others may be crossing a legal line and ...

One-stop shopping eludes the whistleblower. Take the case of Eric Ben-Artzi. This month the former Deutsche Bank quantitative risk analyst went public with his whistleblower ...

The case pitted a fired compliance officer suing his former employer for "unlawful retaliation," using new whistleblower protections gained through Dodd-Frank reforms. Neither Clifford Jagodzinski ...

The SEC last week wired $50,000 into a bank account, representing the initial payout from the agency's new whistleblower office post-Dodd-Frank reforms. The payday for ...