‘Enforcement 40’ for 2020
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By Securities Docket on March 2, 2015, 3:58 pm
The SEC announced today it issued a half-million dollar whistleblower award to a former corporate officer who reported information concerning misconduct to the SEC more than 120 days after other responsible compliance personnel at the company possessed the information and failed to adequately address the issue. The award was the first of its kind. via […]