Andrew Ceresney

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Compliance whistleblower awarded in excess of $1m

The Securities and Exchange Commission has announced an award of more than a million dollars to a compliance professional who provided information that assisted the SEC in an enforcement action against the whistleblower’s company.

SEC Name Co-Directors Of Enforcement

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The Securities and Exchange Commission has announced that Acting Director George Canellos and former federal prosecutor Andrew Ceresney have been named Co-Directors of the Division of Enforcement.

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Merrill Lynch fined $415m for misusing customer cash

The Securities and Exchange Commission announced that Merrill Lynch has agreed to pay $415m and admit wrongdoing to settle charges that it misused customer cash to generate profits for the firm and failed to safeguard customer securities from the claims of its creditors.

SEC announces whisteblower award of more than $325,000

The Securities and Exchange Commission has announced a whistleblower award totalling more than $325,000 for a former investment firm employee who tipped the agency with specific information that enabled enforcement staff to open an investigation and uncover the extent of the fraudulent activity.