Tag Archives: whistle blower

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

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NDA’s Restrict Whistleblowing

See something, say something? But what if your employment agreement has a confidentiality provision? Can you still go to law enforcement? Note that many companies have corporate policies that encourage or require reporting malfeasance up the corporate ladder through the … Continue reading

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Listen to the Birdie

How can you make money in the stock market? Turn in a cheater. The SEC’s Office of the Whistleblower has received over 3,620 whistleblower tips, a more than 20% increase in the number of whistleblower tips in just two years. … Continue reading

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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