By Steve Kardell | Published November 25, 2021 | Posted in Fraud, Whistleblower Litigation | Tagged Tags: compliance officer, SEC, SEC whistleblower awards |
The Securities and Exchange Commission (SEC) recently awarded three compliance professionals a joint award of $1 million for their role in helping the agency uncover and prosecute misconduct at their firm. As is always the case with SEC whistleblower awards, the identities of those whistleblowers were kept private, as well as any potential identifying information, Read More
Read MoreOn April 22, the U.S. Securities and Exchange Commission (SEC) announced an award of between $1.4 million and $1.6 million given to a compliance officer who alerted authorities to wrongdoing within a large company. Because of confidentiality laws, the SEC was not able to reveal the name of either the whistleblower or the business. However, Read More
Read More