Category Archives: SEC Whistleblower
SEC Announces Award of $6 Million to Joint Whistleblowers
On April 21st, 2025, the Securities and Exchange Commission (SEC) announced a joint award of $6 million to two whistleblowers. The federal agencies notes that the whistleblowers willingly came forward and: Provided original information that prompted an investigation; and Provided a roadmap to allow authorities to take enforcement action. An agency official noted that… Read More »
Joint Whistleblowers Awarded $12 Million By SEC
On October 10th, 2024, the Securities and Exchange Commission (SEC) announced a $12 million award to a group of joint whistleblowers. The award will be split among three whistleblowers whose critical information helped the federal agency take enforcement action to stop fraud. Here, our SEC whistleblower rights attorney discusses the joint whistleblower award in… Read More »
Florida Investment Advisory Firm Charged By SEC for Whistleblower Violations
On September 26th, 2024, the Securities and Exchange Commission (SEC) announced charges against a Florida-based investment advisory firm. The federal agency determined that GQG Partners LLC used employment contracts to improperly dissuade whistleblower activity. The investment advisory firm agreed to settle the matter without admitting any wrongdoing. Here, our SEC whistleblower rights attorney discusses… Read More »
SEC Charges Seven Public Companies for Whistleblower Rule Violations
On September 9th, 2024, the Securities and Exchange Commission (SEC) announced that seven public companies are facing sanctions for violation of the securities industry whistleblower laws under the Dodd–Frank Wall Street Reform and Consumer Protection Act. Within this article, our Miami SEC whistleblower protection lawyer discusses the sanctions and the regulations. Enforcement Action: Companies… Read More »
SEC Issues Two Whistleblower Awards, Nearly $100 Million
On August 23rd, 2024, the Securities and Exchange Commission (SEC) issued two whistleblower awards totaling nearly $100 million. Together, the information provided by these whistleblowers contributed to successful enforcement action in a major securities fraud case. Here, our Miami SEC whistleblower rights attorney provides a more detailed overview of the awards. SEC Whistleblower Award:… Read More »
SEC Awards a Collective $24 Million in Compensation to Two Whistleblowers
On August 26th, 2024, the Securities and Exchange Commission (SEC) announced that two whistleblowers have been awarded a collective $24 million in financial compensation. One whistleblower received $20 million and the other whistleblower received $4 million. The SEC granted one whistleblower a larger award based on the importance of their information. Here, our SEC… Read More »
Nearly $40 Million Awarded to a Whistleblower By the SEC
On July 17th, 2024, the Securities and Exchange Commission (SEC) announced that nearly $40 million in financial compensation had been awarded to a whistleblower. According to the agency, the individual provided new information and cooperated with investigators—leading to successful enforcement action. Here, our Miami SEC whistleblower lawyer discusses the award in more detail. Whistleblower… Read More »
J.P. Morgan Will Pay $18 Million to Resolve Securities Industry Whistleblower Violations
On January 16th, 2024, the Securities and Exchange Commission (SEC) announced that J.P. Morgan—the large New York-based investment bank—has reached a settlement with the agency to pay $18 million to resolve violations of whistleblower regulations. Here, our Florida SEC whistleblower lawyer discusses the case and the law in more detail. SEC Order: J.P. Morgan… Read More »
Seven Whistleblower Awarded Nearly $30 Million as Part of Single Case
On December 22nd, 2023, the Securities and Exchange Commission (SEC) announced financial awards totaling more than $28 million to seven different whistleblowers. The seven individuals provided the federal agency with significant “information and assistance” that helped regulators take enforcement action that stopped a major securities fraud scheme. Within this blog post our SEC whistleblower… Read More »
SEC Cites Brokerage Firm for Violating Whistleblower Protection Rule
On September 29th, 2023, the Securities and Exchange Commission (SEC) announced that a brokerage-firm has been cited for violating federal whistleblower protection regulations. D.E. Shaw & Co., L.P.— a brokerage firm headquartered in New York City—reportedly required its employees to sign contracts that prohibited them from making protected disclosures to the SEC. Here, our… Read More »
