Whistleblower Awarded; Information First Reported to Another Agency
More Than $2.2 Million Awarded to SEC Whistleblower Who Initially Reported Information to Another Federal Agency On April 5, 2018, the Securities and Exchange Commission announced a whistleblower award of more than $2.2 million to a former company insider whose... Read More →
$12 Million to Harmed Investors – Investment Advisers Settle Charges
Three Investment Advisers Settle Charges for Breaching Fiduciary Duties and Generating Millions in Improper Fees On April 6, 2018, the Securities and Exchange Commission announced that three investment advisers have settled charges for breaching fiduciary duties to clients and generating... Read More →