U.S. Securities and Exchange Commission building in Washington, D.C. (Photo: Diego M. Radzinschi/ALM) Former Bear Stearns Broker Not Entitled to SEC Whistleblower Award, DC Circuit Rules
The broker was not entitled to collect a portion of a $100 million disgorgement because he provided information before a federal law took effect.
May 27, 2022 at 01:54 PM
2 minute read
A federal appeals court upheld the U.S. Securities and Exchange Commission's decision to deny a Bear Stearns broker a whistleblower award.
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