Introduction In a record-breaking move, the Securities and Exchange Commission has awarded $50 million to a whistleblower. The whistleblower’s insider observations of misconduct by a company resulted in millions of dollars being returned to defrauded investors, according to a press release published by the SEC on June 4, 2020. To protect the identity of the…

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According to a report published in the Wall Street Journal on June 21, 2016, the Securities and Exchange Commission (SEC) is preparing to take civil action against Merrill Lynch in connection to an investment called Strategic Return Notes that reportedly declined “as much as 95% in value and was marketed in a way that one…

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