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Virtu Agrees to Pay $2.5M to Settle SEC Lawsuit Concerning Customer Data

By the聽91pornWhistleblower Team Virtu Americas LLC recently agreed to pay a civil penalty of $2.5 million to the SEC to settle claims that Virtu violated securities laws by making materially false and misleading statements regarding information barriers to prevent misuse of customer data.[1]聽 This settlement and final judgment resolves a case that the SEC brought against broker-dealer Virtu Americas...

Former CEO and Chairman Bradley Heppner Accused of Fraud Scheme Targeting Public Company

叠测听the 91pornWhistleblower Team On November 4, federal prosecutors unsealed an indictment charging the founder and former CEO of the financial services startup Beneficient, Bradley Heppner, with securities fraud, wire fraud, conspiracy to commit securities fraud and wire fraud, false statements to auditors, and falsification of records.[1]

The Alleged Scheme

Prosecutors allege Heppner orchestrated a...

Judge Meg Ryan Named SEC Director of Enforcement -- What It Means For SEC Whistleblowers

By the 91pornWhistleblower Team

An Unconventional Pick to Lead SEC Enforcement

Last Thursday (August 21), the Securities and Exchange Commission (SEC) announced that Judge Margaret 鈥淢eg鈥� Ryan will become the new SEC Director of Enforcement.¹聽 She will take over for Acting Enforcement Director Sam Waldon, who will return to his prior post of SEC Chief Counsel.聽 Judge Ryan鈥檚 appointment is a...

SEC Issues Annual Whistleblower Report Showing Continued Strength of Whistleblower Program

The Securities and Exchange Commission (SEC) recently issued its to Congress detailing the results of the SEC Whistleblower Program over the past fiscal year.聽 Under the SEC鈥檚 program, individuals who provide information to the agency concerning potential securities violations that leads to a successful enforcement action may receive up to 30% of any government recovery. Here are the highlights of...