Overview of SEC Enforcement in Fiscal Year 2021. FY2021 was a record year for the SEC Whistleblower Program. 2021-91 _____ In the Matter of the Claims for Awards in connectionwith . Untamed The U.S. Securities and Exchange Commission (SEC) announced that it filed 697 total enforcement actions in the fiscal year 2021, which ended on Sept. 30. Whistleblower Law: A Guide to Legal Protections for ... SEC Awards $36 Million to Culpable Whistleblower Who ... In addition to providing valuable information, the individual also cooperated and worked with SEC staff on an ongoing basis, which saved the SEC time and . (Circular E), Employer's Tax Guide - Publication 15 (For Use ... The Securities and Exchange Commission said it would look into revising two amendments to its whistleblower award program rules adopted last September, adding . On October 15, 2021, the SEC's Office of the Whistleblower announced multi-million dollar awards to two whistleblowers who provided the SEC with information that assisted the agency in bringing . "These large awards underscore . All three whistleblowers held compliance roles at the subject company. The Corporate Whistleblower's Survival Guide: A Handbook for ... Through the SEC Whistleblower Program, qualified whistleblowers are entitled to a monetary award of 10-30% of funds recovered by the government. The Securities and Exchange Commission reports that fiscal 2021 was a record-breaking year for its whistleblower program, according to ThinkAdvisor. The content on this website is the property of Zuckerman Law and may not be used without the written consent thereof. 1 Twitter 2 Facebook 3RSS 4YouTube Regulation of Corporate Disclosure, 4th Edition - Issue 1 - Page 1-8 SEC.gov | Office of the Whistleblower With the January 14th award announcement, the SEC has already surpassed the total dollar amount awarded in any other fiscal year and has . Whistleblower awards can range from 10-30% of the money collected when the monetary sanctions exceed $1 million. No One Would Listen: A True Financial Thriller - Page i Found inside – Page 1-57[9] The SEC Whistleblower Program entities.245 In response to mandates in the Dodd-Frank Act,244 the SEC adopted a whistleblower reward and protection program in 2011 that encourages whistleblowers to disclose violations of the federal ... This case involved a breach of fiduciary duty that was owed to investors. Instead, awards are paid from the Investor Protection Fund, which is financed entirely through monetary sanctions paid to the SEC by securities law violators. The company, in its 2021 annual report to Congress printed Monday, celebrated the award of roughly $564 million to 108 whistleblowers for the interval beginning Oct. 1, 2020, and ending Sept. 30. SEC Grants Maximum Award to Whistleblower Who Stopped a $100 Million Fraud Scheme. 2021-10-29T21:10:00Z. SEC whistleblower awards surpass $1B with $110M payout. Washington D.C., Aug. 2, 2021 —. Published date grouping: August 2021. New material in the 2020-2021 Edition includes new or expanded discussions of: A recent line of Delaware cases discussing plaintiffs' ability to state a Caremark claim for lack of oversight of "mission critical" aspects of a company's ... We are very proud of the contributions and . The SEC released its annual report to Congress on the program and said it made more whistleblower awards this year than in all prior years combined. SEC Whistleblower Program Awards Break Another Record in Second Quarter of 2021 . Largest SEC Whistleblower Awards to Date. This research handbook provides a state-of-the-art perspective on how corporate governance differs between countries around the world. Read: The SEC Award Order. On May 10, 2021, the SEC's Office of the Whistleblower announced multi-million dollar awards to two whistleblowers who provided the SEC with information that assisted the agency in bringing a successful enforcement action against a financial services firm. SEC awards whistleblower extra $2M for DOJ action. In this system's first 10 years in existence (FY2011 by FY2020), it awarded roughly $562 million to 106 people. From FY 2012 to FY 2021, the number of whistleblower tips submitted to the SEC has grown by approximately 300%. In the 2021 fiscal year the program awarded over $500 million to over 100 individual whistleblowers. On September 15, 2021, the SEC announced two awards totaling $114 million. Found insideGiancarlo Spagnolo* and Theo Nyreröd Abstract: Whistleblower reward programmes, or ʻbounty regimesʼ, are increasingly ... The Securities and Exchange Commissionʼs (SEC) whistleblower programme was established with the enactment of the ... This represents both the largest dollar value of awards in any year, and the largest number of individuals to receive whistleblower awards in any year. The whistleblower program also surpassed $1 billion in awards over the life of the program. The SEC's whistleblower program smashed its previous record for tips received last year as the COVID-19 pandemic drove a surge in whistleblowing activity. Visiting this site or relying on information gleaned from the site does not create an attorney-client relationship with Zuckerman Law. As we previously wrote, her five years running the agency's Whistleblower Program were groundbreaking in the number and amount of awards the SEC made and in the agency's efforts to champion the critical role whistleblowers play within the SEC enforcement regime. and for a covered action with two cases: $114 million. SEC rewrites whistleblower record books during historic FY2021 | Article. Found insideRetrieved from www.sec.gov/news/press-release/2018-120 Securities and Exchange Commission. (2020a). SEC adds clarity, efficiency and transparency to its successful Whistleblower award program [Press release]. "Today's awards underscore the important role that whistleblowers play in detecting and halting securities laws violations," said Emily Pasquinelli, Acting Chief of the SEC's Office of the Whistleblower. 2021-10-29T21:10:00Z. Aug. 6, 2021 8:53 pm ET. While the second whistleblower’s information was important, the first whistleblower's information was more significant as it was broader and more timely submitted. Since the SEC Whistleblower Program’s inception, enforcement matters brought using information from meritorious whistleblowers have resulted in orders for nearly $5 billion in total monetary sanctions, including more than $3.1 billion in disgorgement of ill-gotten gains and interest, of which more than $1.3 billion has been, or is scheduled to be, returned to harmed investors. It has been less than two months since SEC Whistleblower Chief Jane Norberg left the agency for private practice. Over . Assistance Provided During the 2021 fiscal year, the SEC Whistleblower Program received a record 12,200 whistleblower tips and issued a record $564 million in whistleblower awards to a record 108 individuals. This report highlights the trends, concerns, and potential opportunities of DLTs, especially for Asian markets. It also identifies the benefits and risks to using DLT and offers a functional and proportional approach to these issues. The Securities and Exchange Commission surpassed $1 billion in whistleblower awards with the announcement of a $110 million payout to a whistleblower whose independent analysis led to two successful enforcement actions against a company. The report details a record-shattering fiscal year for the agency's highly successful whistleblower program. Dodd-Frank Act whistleblower, sec whistleblower awards, SEC whistleblower bounty, sec whistleblower process, SEC whistleblower program, whistleblowing to SEC. The previous high-water mark for total payouts was FY2020, when the SEC awarded . This is the first comprehensive work on asset recovery, written by renowned practitioners and academics representing different legal systems and countries, all of whom have extensive experience in the asset recovery field. The information provided by the individual assisted the SEC with both administrative and judicial . (The order granting the awards can be accessed here.).) In the 2021 fiscal year, the SEC awarded approximately $564 million to 108 individuals. SEC Issues Record-Breaking Whistleblower Awards. On September 15, 2021, the SEC announced an award of $110 million to a whistleblower, the second highest award in program history following the $114 million award announced in October 2020, for providing information that led to a successful SEC enforcement action and two related actions. Found inside – Page 4146... 702 , 704 , 746 , 885 , 945 , 1033 , 1134 , 1181 , 1342 , 1394 , 1396 , 1463 , 1469 , 1606 , 1619 , 1872 , 1955 , 1956 , 1986 , 1988 , 2021 , 2080 , 2347 , 2523 , 2524 ... 1104 , 1105 , 1451 , 1452 , 2203 whistleblower award claim . The larger of the two awards, $32 million, was awarded to the whistleblower whose information caused the . On October 25, 2021, a joint whistleblower award topping $1.5 million was awarded to individuals who voluntarily came forward to the SEC with information about alleged wrongdoings, involved parties, and witness credibility - all of which helped the SEC efficiently conduct their investigation. Title: SEC Issues Whistleblower Awards Totaling $2.6 Million. Redacted Redacted Redacted Redacted Redacted Redacted. See our tips for SEC whistleblowers. Whistleblower Award Applications can also be submitted by fax to (703) 813-9322. Date: Aug. 27, 2021. Overall, the SEC has awarded more than $938 million to . The Securities and Exchange Commission today announced an award of approximately $36 million to a whistleblower whose information and assistance significantly contributed to the success of an SEC enforcement action as well as actions by another federal agency. SEC awarded approximately $564 million to 108 individuals in fiscal 2021. SEC Awards $1M In Latest Whistleblower Case. How to Steal A Lot of Money...Legally is a guide to investment scamming based on true events and insights gleaned from high-profile forensic investigations. The Oxford Handbook of Corporate Law and Governance provides the global framework necessary to understand the aims and methods of legal research in this field. That award marked a milestone for the SEC's 10-year-old whistleblower program, as it put the total amount of awards issued to over $1 billion. The Securities and Exchange Commission today announced awards of more than $4 million to four whistleblowers who provided information and assistance in two separate enforcement proceedings. The Securities and Exchange Commission announced more than $31 million in whistleblower awards related to two orders, with the largest share of $27 million split between two claimants in one case. STAY CONNECTED Claim an Award We post Notices of Covered Action for each SEC action where a final judgment or order, by itself or together with other prior judgments or orders in the same action issued after July 21, 2010, results in monetary sanctions exceeding $1 million. The report details a record-shattering fiscal year for the agency's highly successful whistleblower program. The SEC also awarded more than $150,000 to another whistleblower, whose information prompted SEC staff to expand its investigation into other alleged conduct at the relevant company. The SEC's Claims Review Staff recommended an increase in the percentage of a whistleblower award to joint Claimants, which the SEC adopted. © 2021 Zuckerman Law, All Rights Reserved. 27M. Recently, the SEC has been issuing whistleblower awards at a record pace. Rule 21F-4 under the Securities Exchange Act of 1934 generally bars employees with compliance or . The company, in its 2021 annual report to Congress printed Monday, celebrated the award of roughly $564 million to 108 whistleblowers for the interval beginning Oct. 1, 2020, and ending Sept. 30. "Casebook on Securities Regulation Law"-- Washington D.C., Sept. 24, 2021 —. On September 15, 2021, the SEC announced accumulated awards of over $1 billion paid to 207 whistleblowers since its first award in 2012. 2021-05-17T20:20:00Z. A Bloomberg BNA article titled SEC Whistle-Blower Awards: No Guarantees quotes SEC whistleblower lawyer Dallas Hammer’s insights about…, SEC whistleblower lawyer Jason Zuckerman will moderate a DC Bar webcast program titled New Developments…, MEET OUR TEAM OF PROFESSIONALS Jason Zuckerman Principal Dallas Hammer Of Counsel Matthew Stock CPA,…, An article in law.com's Compliance Hot Spots newsletter titled SEC Tells Whistleblower: Wait a Minute reports…. SEC Awards $6M To Two Whistleblowers. Emily Pasquinelli, Acting Chief of the SEC's Office of the Whistleblower noted that "[w]histleblowers can act as a springboard for an . SEC rewrites whistleblower record books during historic FY2021 | Article. “Blood Feud rivals A Civil Action for best non-fiction book of the past twenty years.” — John Lescroart, New York Times bestselling author of Damage Procrit seemed like a biotech miracle, promising a golden age in medical care. On November 15, the U.S. Securities and Exchange Commission (SEC) Whistleblower Program released its Annual Report to Congress for the 2021 fiscal year.The report reveals that the program broke a number of fiscal year records, including the number of whistleblower awards issued, the total dollar amount awarded to whistleblowers, and the number of whistleblower tips received. As these graphs show, the 2021 awards are even more . No money has been taken or withheld from harmed investors to pay whistleblower awards. The Securities and Exchange Commission announced a second award to a whistleblower after their information provided led to a successful related action by the Department of Justice. The SEC awarded approximately $36 million to a whistleblower for assisting SEC staff and furnishing information in connection with an enforcement action, but denied two other claimants.. The agency awarded over $500 million to over 100 individuals, figures approximately three times the size of previous fiscal year records.Since the 2022 fiscal year began on October 1, 2021, the SEC has continued this momentum and has already issued four whistleblower awards. During the 2021 fiscal year, the SEC Whistleblower Program received a record 12,200 whistleblower tips and issued a record $564 million in whistleblower awards to a record 108 individuals. All payments are made out of an investor protection fund established by Congress that is financed entirely through monetary sanctions paid to the SEC by securities law violators. 2021-143. CFTC Whistleblower Reward Program: What Violations Qualify for an Award? The British Legal Awards 2021 . In Jonathan Stevenson's words, Agee became "one of history's successful viruses: undeniably effective and impossible to kill." In this first biography of Agee, Stevenson will reveal what made Agee tick, and what made him run"-- Phillips & Cohen LLP whistleblower attorneys offer recommendations to the SEC as it reconsiders rules imposed only nine months ago that limit certain whistleblower awards. The SEC's Office of the Whistleblower has awarded another bounty to someone who helped by offering information. The first book to provide an overview of the impact, implications, and procedures of the new corporate whisteblower laws emerging from the landmark Sarbanes-Oxley Act. Categories: Over . This Second Edition provides a comprehensive review of the issues facing compensation committees and covers functional issues such as organising, planning, and best practice tips. Whistleblower tips have resulted in orders for nearly $5 billion in total monetary sanctions, which is approximately five times the amount that the SEC has paid to whistleblowers. Award to former Hyundai safety engineer in South Korea highlights the international reach of U.S. whistleblower laws, which provide awards to those who report fraud or corruption SAN FRANCISCO, CA (November 9, 2021) -Constantine Cannon is pleased to announce that its client, former Hyundai safety engineer Kim Gwang-ho, has received $24.3 million in the first-ever […] Siedle is an authority on DB (defined benefit) pensions for those in public service and the military. Kiyosaki is an expert on DC (defined contribution) pension plans such as 401(k)s and IRAs. -- adapted from back cover In this system's first 10 years in existence (FY2011 by way of FY2020), it . "Each of the whistleblowers provided high-quality information that made an important contribution to the success of the underlying enforcement action.". Thursday, October 14, 2021. Congress set up the SEC whistleblower program to incentivize as many people as possible to come forward and report securities law violations, they say. The 2021 fiscal year was a record year for the Securities and Exchange Commission (SEC) Whistleblower Program. In light of recent large awards, the SEC will likely continue to attract a high volume of whistleblower tips. Matthew Stock is the Director of the Whistleblower Rewards Practice at Zuckerman Law. And it is the story of how each of us can begin to trust ourselves enough to set boundaries, make peace with our bodies, honor our anger and heartbreak, and unleash our truest, wildest instincts so that we become women who can finally look ... 6LinkedIn 8 Email Updates, SEC Issues Awards Totaling More Than $15 Million to Two Whistleblowers, SEC Awards More Than $2 Million to Whistleblower for Successful Related Action, SEC Awards $40 Million to Two Whistleblowers, SEC Bars Two Individuals from Whistleblower Award Program, SEC Awards Approximately $36 Million to Whistleblower, SEC Awards $11.5 Million to Two Whistleblowers, SEC Surpasses $1 Billion in Awards to Whistleblowers with Two Awards Totaling $114 Million, SEC Issues Whistleblower Awards Totaling $2.6 Million, SEC Issues Nearly $6 Million in Whistleblower Awards, SEC Awards $3.5 Million to Whistleblowers in Two Enforcement Actions, Statement in Connection with the SEC’s Whistleblower Program, SEC Issues Whistleblower Awards Totaling More Than $4 Million, SEC Awards Nearly $3 Million to Whistleblower, SEC Awards More Than $1 Million to Whistleblower, SEC Issues Whistleblower Awards Totaling Nearly $5.3 Million, SEC Awards Approximately $3 Million to Two Whistleblowers, SEC Awards More Than $23 Million to Whistleblowers, SEC Awards More Than $4 Million to Whistleblower, SEC Awards More Than $28 Million to Whistleblower Who Aided SEC and Other Agency Actions, SEC Awards More Than $31 Million to Whistleblowers in Two Enforcement Actions, SEC Awards Approximately $3.6 Million to Whistleblower, SEC Awards $22 Million to Two Whistleblowers, SEC Awards More Than $3 Million to Whistleblowers in Two Enforcement Actions, SEC Awards Over $50 Million to Joint Whistleblowers, SEC Awards Approximately $2.5 Million to Whistleblower, Jane Norberg, Chief of the SEC's Office of the Whistleblower, to Leave Agency, SEC Awards Over $500,000 to Whistleblower Under "Safe Harbor" for Internal Reporting and Surpasses Record for Individual Awards, SEC Awards Approximately $1.5 Million to Whistleblower, SEC Issues Over $5 Million to Joint Whistleblowers Located Abroad, SEC Awards Over $500,000 to Two Whistleblowers, SEC Issues Whistleblower Awards Totaling Over $1.7 Million, SEC Awards More Than $9.2 Million to Whistleblower for Successful Related Actions, Including Agreement With DOJ, SEC Awards Almost $3 Million Total in Separate Whistleblower Awards, SEC Charges Investment Adviser and Others With Defrauding Over 17,000 Retail Investors, SEC Awards Nearly $600,000 to Whistleblower, SEC Issues Over $1.1 Million to Multiple Whistleblowers, SEC Awards Over $1.6 Million to Whistleblower, SEC Issues Multiple Whistleblower Awards Totaling Over $3.6 Million, SEC Awards More Than $300,000 to Whistleblower with Audit Responsibilities, SEC Issues Multiple Whistleblower Awards Totaling Nearly $3 Million, SEC Awards Over $6 Million to Joint Whistleblowers, SEC Awards Over $1.1 Million to Whistleblower for Independent Analysis, SEC Awards More Than $3.6 Million and $750,000 in Separate Whistleblower Awards, SEC Awards Over $28 Million to Whistleblower, SEC Awards Over $10 Million to Whistleblower, SEC Issues Record $114 Million Whistleblower Award, SEC Whistleblower Program Ends Record-Setting Fiscal Year With Four Additional Awards, SEC Awards Almost $30 Million to Two Insider Whistleblowers, SEC Issues $1.8 Million Whistleblower Award to a Company Outsider, SEC Issues Two Whistleblower Awards for High-Quality Information Regarding Overseas Conduct, SEC Adds Clarity, Efficiency and Transparency to Its Successful Whistleblower Award Program, Amendments to the Commission's Whistleblower Program Rules, Statement on the Commission’s New and Improved Whistleblower Program Rules, SEC Issues $2.4 Million Whistleblower Award, SEC Awards Almost $250,000 to Joint Whistleblowers, SEC Awards More Than $10 Million to Whistleblower, SEC Awards Over $2.5 Million to Joint Whistleblowers for Detailed Analysis That Led to Multiple Successful Actions, SEC Awards Over $1.25 Million to Whistleblower, SEC Issues $3.8 Million Whistleblower Award, SEC Awards Almost $700,000 to Whistleblower, SEC Awards Record Payout of Nearly $50 Million to Whistleblower, SEC Awards Almost $2 Million to Whistleblower, SEC Awards Over $18 Million to Whistleblower, SEC Issues $5 Million Whistleblower Award, SEC Awards Over $27 Million to Whistleblower, SEC Awards Approximately $2 Million to Whistleblower, SEC Awards Over $570,000 to Two Whistleblowers, SEC Awards More Than $7 Million to Whistleblower, SEC Awards Whistleblowers Whose Information Helped Stop Fraud, Statement on Whistleblower Program 2019 Annual Report to Congress, SEC Awards Over $260,000 to Whistleblowers for Their Help in Spotting Securities Fraud, SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints, SEC Awards More Than $1.8 Million to Whistleblower, SEC Awards Half-Million Dollars to Overseas Whistleblower, SEC Awards $3 Million to Joint Whistleblowers, SEC Awards $4.5 Million to Whistleblower Whose Internal Reporting Led to Successful SEC Case and Related Action, SEC Awards $50 Million to Two Whistleblowers, SEC Awards Almost $4 Million to Overseas Whistleblower, Whistleblower Receives Award of Approximately $1.5 Million, SEC Awards More Than $54 Million to Two Whistleblowers, Statement on Proposed Rules Regarding SEC Whistleblower Program, SEC Proposes Whistleblower Rule Amendments, SEC Awards Whistleblower More Than $2.1 Million, SEC Awards More Than $2.2 Million to Whistleblower Who First Reported Information to Another Federal Agency Before SEC, SEC Announces Its Largest-Ever Whistleblower Awards, Former Company Insider Earns More Than $4.1 Million for Whistleblower Tip, More Than $16 Million Awarded to Two Whistleblowers, SEC Announces Whistleblower Award of More Than a Million Dollars, SEC Announces Whistleblower Award of More Than $1.7 Million, SEC Announces $2.5 Million Whistleblower Award, Whistleblower Award of More Than Half-Million Dollars for Company Insider, SEC Awards Nearly $4 Million to Whistleblower, SEC Announces $7 Million Whistleblower Award. Over the course of the year, the whistleblower . 6LinkedIn 8 Email Updates. The SEC has already issued a number of whistleblower awards since the 2022 fiscal year began on October 1, 2021. Last updated: November 17th, 2021. Although the whistleblowers' information was already largely known to the SEC, some of it was new, they were abundantly helpful, and also had internally reported. The 2021 fiscal year was a record year for the agency's whistleblower program. He never expected to become a catalyst for the series of "whistleblower" lawsuits that ripped through the healthcare industry in the late 1990s In Undercover, John Schilling tells the story of his harrowing journey from ordinary citizen and ... In FY 2021, the most common violations reported by whistleblowers were Manipulation (25%), Corporate Disclosures and Financials (16%), Offering Fraud (16%), Trading and Pricing (6%), and Initial Coin Offerings and Cryptocurrencies (6%). Shareholder Claims provides practical guidance on bringing claims including derivative claims under the UK Companies Act 2006, and claims under the Financial Services and Markets Act 2000, equivalent procedure in European centres and class ... Since the 2021 fiscal year began on October 1, 2020, the SEC has awarded approximately $376 million to 73 individuals - both fiscal year records. This represented a 3 percent decrease over the total actions filed in the fiscal year 2020. Employer's Tax Guide (Circular E) - The Families First Coronavirus Response Act (FFCRA), enacted on March 18, 2020, and amended by the COVID-related Tax Relief Act of 2020, provides certain employers with tax credits that reimburse them for ... Found inside – Page 102The concept of the whistleblower was already introduced in Section 21F of the Securities Exchange Act of 1934; however, the SEC Office of the Whistleblower was only established in 2010. The first monetary award to a whistleblower was ... The SEC's whistleblower program provides for awards in amounts between 10% and 30% of the monetary sanctions collected in an SEC action based on the whistleblower's original information. SEC Whistleblower Awards on the Rise Following a record-setting 2020 fiscal year, which just ended on September 30, 2020, the SEC is on track to issue even more awards in 2021. The SEC Whistleblower Program's 2021 annual report reveals that the program is achieving significant success in attracting high-quality tips, strengthening the SEC's enforcement of federal securities laws, and compensating harmed investors. On November 5, 2021, the SEC announced that Nicole Creola Kelly would take over as Chief of the SEC's Office of the Whistleblower.. The company, in its 2021 annual report to Congress printed Monday, celebrated the award of roughly $564 million to 108 Whistleblowers who provide the SEC with original, timely, and credible information that leads to a . Washington D.C., Aug. 2, 2021 —. The Securities and Exchange Commission today announced awards of more than $4 million to four whistleblowers who provided information and assistance in two separate enforcement proceedings. On April 9, 2021, The SEC announced the award of $2.5 million to a whistleblower for information and assistance that led to a successful enforcement action. The SEC obtained judgments and orders for nearly $2.4 billion in disgorgement and more than $1.4 billion in penalties, which represented a respective . The whistleblower program also surpassed $1 billion in awards over the life of the program. On September 24, 2021, the SEC announced an approximately $36 million award to a whistleblower who provided critical information to the SEC that contributed to a successful enforcement action. The SEC Whistleblower Program’s 2021 annual report reveals that the program is achieving significant success in attracting high-quality tips, strengthening the SEC’s enforcement of federal securities laws, and compensating harmed investors. In the first order, the SEC awarded more than $2 million to a whistleblower who provided valuable information that resulted in SEC staff initiating an investigation, as well as ongoing assistance that included participating in multiple interviews and identifying key individuals and entities. To date, the largest award for a single case was $83 million (Yes, our clients!) Recent federal legislation in finance and health reform have cemented legal protections and mechanisms for whistleblowing. This book provides a thorough guide and history to the whistleblower's legal rights. The US Securities and Exchange Commission saw a significant spike in whistleblower tips during fiscal year 2021, according to an agency . Of those recipients, more than, Whistleblowers who received awards in FY 2021 assisted the SEC in bringing enforcement cases involving an array of securities violations, including offering frauds, such as. Two cases saw bounties of $6 million, as described in a recent press release. The SEC obtained judgments and orders for nearly $2.4 billion in disgorgement and more than $1.4 billion in penalties, which represented a respective . Related Action Leads To An SEC Bounty Of $2M For One Whistleblower November 4, 2021 CFTC Whistleblower Earns Record $200M Award For Providing Information October 28, 2021 Retaliation—Understanding What It Is And Why It's Such An Important Issue To The SEC October 11, 2021
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