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SEC Enforcement Actions

					
The  (SEC) is the United States agency with primary responsibility for enforcing federal securities laws. Whistleblowers with knowledge of violations of the federal securities laws can submit a claim to the SEC under the SEC Whistleblower Reward Program, and may be eligible to receive 聽monetary rewards and protection against retaliation by employers.


Below are summaries of recent SEC settlements or successful prosecutions. If you believe you have information about fraud which could give 聽rise to an SEC enforcement action and claim under the SEC Whistleblower Reward Program, please contact us to speak with one of our experienced whistleblower attorneys.

				

			

			
						
					
			 			


 			




	
		
		

			

				
				
November 13, 2020

				 The SEC has awarded over $1.1 million to a whistleblower who conducted an independent analysis of publicly available materials and submitted insights as a tip.听 The whistleblower鈥檚 important new insights led staff to expand an ongoing investigation and helped protect investor assets from dissipation by the wrongdoer.听 				 					 

						
Tagged in:
													  Anonymity, 
													  Financial Institution Fraud, 
													  SEC Whistleblower Reward Program, 
													  Whistleblower Rewards, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
November 5, 2020

				 The SEC awarded a whistleblower $3.6 million, stating that the individual had provided information that alerted the Commission to misconduct that was occurring abroad, and further provided substantial and ongoing assistance during the course of the investigation, traveling abroad at the whistleblower鈥檚 own expense and providing extensive supporting documentation.听 				 					 

						
Tagged in:
													  SEC Whistleblower Reward Program, 
													  Whistleblower Rewards, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
November 5, 2020

				 A whistleblower received a $750,000 SEC award, with the Commission stating that the individual provided significant information that uncovered an ongoing fraud and assisted the investigation. 				 					 

						
Tagged in:
													  SEC Whistleblower Reward Program, 
													  Whistleblower Rewards, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
November 3, 2020

				 An SEC whistleblower was awarded $28 million following an undisclosed enforcement action.听 The individual internally reported information that prompted the company to initiate an internal investigation, and provided significant information that aided the SEC, including by testifying and identifying a key witness.听 				 					 

						
Tagged in:
													  SEC Whistleblower Reward Program, 
													  Whistleblower Rewards, 
												
						

					
	
							
	
		
		
	


 			


 			




	
		
		

			

				
				
October 22, 2020

				 The Goldman Sachs Group, Inc. and its Malaysian subsidiary, Goldman Sachs (Malaysia) Sdn. Bhd. (GS Malaysia) have pleaded guilty to conspiracy to violate the Foreign Corrupt 91吃瓜网 Act (FCPA), entered into a deferred prosecution agreement with DOJ, and agreed to pay $2.9 billion as part of a coordinated resolution with authorities in the U.S., U.K., and Singapore.听 Between 2009 and 2014, senior employees at the global financial institution directly and indirectly paid over $1.6 billion in bribes to government officials in Malaysia and Abu Dhabi, earning $606 million in revenue and an increased presence in Southeast Asia as a result.听 Goldman鈥檚 managing director, Tim Leissner, was separately charged for his role last December.听 ; ; 				 					 

						
Tagged in:
													  FCPA, 
													  Financial and Investment Fraud, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
October 22, 2020

				 The SEC has awarded a record-breaking $114 million to a whistleblower whose tip and substantial, ongoing assistance helped lead to successful enforcement actions by the SEC and another agency.听 This is the highest award in the history of the SEC whistleblower program, bypassing the next highest award, issued in June 2020, by over $60 million.听 				 					 

						
Tagged in:
													  Anonymity, 
													  Financial and Investment Fraud, 
													  SEC Whistleblower Reward Program, 
													  Whistleblower Rewards, 
												
						

					
	
							
	
		
		
	


 			




	
		
		

			

				
				
October 21, 2020

				 Cryptocurrency issuer Kik Interactive Inc. will pay a $5 million penalty in a consent judgment resolving claims by the SEC that Kik鈥檚 unregistered offering of digital 鈥淜in鈥� tokens in 2017 violated U.S. securities laws.听 The consent judgment finds that Kin tokens were investment contracts and the offering did not qualify for any exemption from registration requirements.听 Kik sold the tokens through both public and private sales; the court found that the sales were a single integrated offering.听 聽				 					 

						
Tagged in:
													  Cryptocurrency, 
													  Financial and Investment Fraud, 
													  Regulatory Violations, 
													  Securities Fraud, 
												
						

					
	
							
	
		
		
	


 			


											

						

								

									
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