Tag Archives: monetary penalty

Outside Analyst Gets Whistleblower Award

You don’t have to be an insider to collect whistleblower rewards from the Securities and Exchange Commission. The SEC has paid an outside analyst $700,000 for the work he submitted to the SEC that resulted in a major enforcement action. … Continue reading

Posted in accredited investor, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, fine, FINRA, fraud, Investments, Legislative Intent, SEC, Small Business, VC, Venture Capital, Wall Street | Tagged , , , , , , , , , , , , , , , , , , | Leave a comment