The Law of the Financial Markets from Top Securities Lawyers
Sunday, May 18, 2025
A look into the workings of the SEC Whistleblower Program. Is it any surprise that Whistleblowers who are represented by securities attorneys might do better presenting tips than those who are represented by non-securities attorneys? What is the SEC Whistleblower Program? The SEC Whistleblower Program is a vital component […]
SEC Awards $12 Million to Whistleblowers Exposing Penny Stock Fraud Last week, the Securities and Exchange Commission (SEC) awarded $12 million to three whistleblowers who provided crucial information leading to the agency’s enforcement action against a penny stock fraud operation. This high-profile case underscores the SEC’s commitment to combating financial […]
The SEC’s Landmark Whistleblower Awards The Securities and Exchange Commission (SEC) recently made headlines by awarding over $98 million to two whistleblowers whose information and cooperation led to significant enforcement actions. These payouts demonstrate whistleblowers’ crucial role in upholding financial markets’ integrity. Whistleblower Information Sparks Major Investigations The SEC’s investigations […]
The SEC has granted over $37 million to a whistleblower. This individual provided previously unknown information to the SEC, significantly aiding a successful enforcement action. The whistleblower also collaborated with the Enforcement staff, identifying potential witnesses and documents, thus conserving valuable time and resources. Significance of the SEC’s Whistleblower […]
Washington D.C., Jan. 16, 2024 – The Securities and Exchange Commission (SEC) has taken action against J.P. Morgan Securities LLC for their alleged hindrance of clients from reporting potential securities law violations. SEC Charges J.P. Morgan The SEC has officially charged J.P. Morgan with impeding numerous advisory clients and brokerage […]
Sept. 8, 2023 — The Securities and Exchange Commission (SEC) has announced settled charges against Monolith Resources LLC, a privately held energy and technology company headquartered in Lincoln, Nebraska. The charges stem from Monolith’s use of employee separation agreements that violated the SEC’s whistleblower protection rules. Protection of Whistleblowers is […]
Introduction In a groundbreaking development, the SEC has made history by awarding over $104 million to seven whistleblowers. This announcement, which took place on August 4, 2023, marks the fourth largest award ever granted under the SEC’s whistleblower program. These individuals played a pivotal role in facilitating a successful SEC […]
An insightful look into the workings of the SEC Whistleblower Program. The Wall Street Journal presents an article that includes excerpts from an interview with Nicole Creola Kelly, who is the SEC’s head of its whistleblower program. She addresses the criticism in recent years in both circuit courts and […]
The Securities and Exchange Commission today announced awards of more than $104 million to seven individuals whose information and assistance led to a successful SEC enforcement action and related actions brought by another agency. Today’s combined award… Read the Full Press Release Have a securities law question? Call New York […]
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