Whistleblower Program

It is important for participants in misconduct to understand that, in many circumstances, they are eligible for awards and we would like to hear from ...

The amendments make changes to other key areas such as: eligibility requirements; award claims review; contents of record for award determinations; whistleblower identifying information; and ...

The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is proposing to amend its regulations to enhance the process for reviewing whistleblower claims and to make ...

The award is the fourth award made by the CFTC’s Whistleblower Program to a whistleblower who provided valuable information about violations of the Commodity Exchange ...

Some may flinch at the thought of government asking private entities for the names of staffers who have made political contributions but OCIE’s doing just ...

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 ...