SEC and CFTC Whistleblower Update

The Securities and Exchange Commission has established a fund of over $450 million to pay whistleblowers whose information leads to the successful penalization or conviction of companies or individuals...

The Commodities Futures Trading Commission (CFTC) has been dismissed as a lackadaisical regulator in the past, but it’s getting more aggressive. Although the CFTC is smaller than the Securities &...

The government’s prosecution of cases under the Foreign Corrupt Practices Act has resulted in record-shattering fines and criminal convictions of executives. And it seems as though its use will be...

A survey by Corporate Board Member of more than 400 board members reveals that they are not huge fans of the whistleblower provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. One...

The story of a stock trader who went undercover to help the FBI expose a Ponzi scheme shows some of the problems that have confronted the government even when it knows that a fraud is occurring. Ty Schlobohm...

While the exchanges bicker over the cost of implementing real-time market tracking systems (“Charges Bring SEC Hope for New Weapon,” Wall Street Journal, Aug. 30), on-the-ground whistleblowers remain...

There’s a remarkable new trend in federal courts: Judges are refusing to rubber stamp deals federal agencies have worked out with financial industry defendants. Is this a sign of things to come? The...