CFTC Whistleblower Annual Report

On October 29th, 2021 the CFTC submitted its annual report to Congress containing information regarding its Whistleblower awards. 

Notable takeaways from the report: 

  • Whistleblowers who have reported information to the SEC or the NFA can also qualify for awards with the CFTC
  • The total sanctions awarded by the CFTC exceeded over $1 billion dollars, with the CFTC awarding its largest sum every in September 2021
  • The CFTC received tips regarding: insider trading, position limit violations, reporting violations, false statements to the government, failure to supervise, recordkeeping violations, registration violations, illegal swap dealer business conduct, wash trading, solicitation fraud, misappropriation, various other types of fraud, use of deceptive or manipulative devices in trading, spoofing, and other forms of disruptive trading or market manipulation

If you work for a company organized and regulated by the Commodities Exchange Act (CEA) and you are aware of malfeasance or investor fraud at your company, call (866) WLGROUP or email info@warren.law from a confidential and complimentary meeting with the attorneys at Warren Law Group.

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Warren Law Group

WLG provides legal representation to financial services professionals and business owners in regulatory and compliance matters, litigation, and securities.