Keyword: Whistleblowers

190 results found

Majority of tips, half of enforcement actions involve crypto, CFTC says

Fraud

Funds used investor capital to pay distributions

Whistleblower

Tip helped, but SEC rules that compliance staff sparked investigation

Judge looks at papers

Court rejects confidentiality in alleged wrongful dismissal case

Whistleblower

Tipster alerted regulator to hard-to-detect misconduct

Businessman Blowing Whistle Isolated on White Background

Program aims to close gaps involving crimes that aren't cases for SEC, CFTC

Businessman Blowing Whistle Isolated on White Background

Information expanded an investigation, helped protect investors

Analyst was fired after claiming traders tried to influence research

The SEC sanctioned the firm for violating whistleblower protections

One individual and two sets of joint tipsters share rewards