“The SEC’s whistleblower program strengthens market integrity by providing protection and incentives for those who come forward and report potential violations of the securities laws,” said Jason J.

Seven companies settled with the Securities and Exchange Commission over charges that they violated rules protecting whistleblowers who report potential misconduct. The combined civil penalties for ...

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We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

Since its launch in 2011, the SEC Whistleblower Program has been a resounding success—but gaps still remain, a co-chair of Outten & Golden's whistleblower practice writes. Earlier this month, U.S.

Steve Grzanich has the business news of the day with the Wintrust Business Minute. Chicago-based TransUnion has been fined by the U.S. Securities & Exchange Commission for violating whistleblower ...

Gift Article 10 Remaining As a subscriber, you have 10 articles to gift each month. Gifting allows recipients to access the article for free. TransUnion is paying a $312,000 penalty to the U.S.

A registered investment advisor firm headquartered in Florida is to pay a $500,000 civil penalty to settle charges from the Securities and Exchange Commission relating to whistleblowing. GQG Partners ...