Tag Archives: Office of the Whistleblower

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

SEC Denies Whistleblower Awards

You can make up to 30% on all monetary sanctions over $1 million imposed by the SEC as a whistleblower. Last week the SEC handed out $875,000 to 2 informants. http://www.sec.gov/News/PressRelease/Detail/PressRelease/1370541980219#.U5YWa_ldWVM However, your information had better be correct. The SEC … Continue reading

Posted in Broker dealers, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, Funding Portals, Investments, Jobs, Legislative Intent, SEC, Small Business, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

Whistleblower Job Update – $14 Million+

(This is an Update to the post of September 10, 2013.) The Securities and Exchange Commission announced yesterday that it has made the largest whistleblower award in its history (more than $14 million) to an unidentified whistleblower who “provided original … Continue reading

Posted in Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding At the Margins, Crowd Funding Platforms, FINRA, Investments, Jobs, Legislative Intent, SEC, Small Business, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment

A New JOBS Act Job – Whistleblower

The crowdfunding public is already pretty vigilant, with a few high profile frauds having been sniffed out. But when the crowdfunding regs get published, a new profession may appear, that of the whistle blower. The SEC actually has an Office … Continue reading

Posted in Broker dealers, Congress, Crowd Fund Act, Crowd Fund Act of 2012, Crowd Funding Platforms, FINRA, Funding Portals, Investments, Jobs, Legislative Intent, SEC, Wall Street | Tagged , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , , | Leave a comment