[I]n reaching that determination, we positively assessed the following facts: (1) Claimant 1's information caused the Responsible Investigative Staff to open the Investigation; (2) it was Claimant 1's information and ongoing assistance that led directly to almost every factual finding and charge against the Company; (3) Claimant 1 provided substantial assistance to the Responsible Investigative Staff, providing them with key evidence, communicating over a dozen times with the Responsible Investigative Staff, helping to decipher communications and distill complex issues, and saving significant Commission time and resources; (4) Claimant 1 raised concerns about the Company's conduct internally, and, after determining the Company would not remedy the problem, reported Claimant 1's concerns to the Commission; and (5) the law enforcement interests are very high.
Plaintiff commenced this action on April 22, 2015, asserting three causes of action for defamation, defamation per se, and intentional infliction of emotional distress (Mot. Wipper Aff., Exh. A). Plaintiff, is a professor of law at Georgetown University Law Center and the sole African-American on the National Adjudicatory Council (NAC). He was part of a panel that upheld a decision by the Financial Industry Regulatory Authority. Inc. ("FINRA"), issuing a lifetime ban from the security industry against two African-American stockbrokers: non-parties William Scholander and Talman Harris. NYG Capital LLC d/b/a New York Global Group (hereinafter referred to individually as "NYGG") is a U.S. and Asia based strategic market entry advisory, venture capital, and private equity investment group that services clients worldwide. FNL Media, LLC. is described in the Complaint as a division or subsidiary of NYGG, and the owner of TheBlot, a website and online digital magazine that claims to combine investigative journalism with reader-submitted opinions. According to the Complaint Benjamin Wey is the CEO of NYGG. a publisher and contributor to TheBlot (Mot. Wipper Aff., Exh. A).The Complaint alleges that almost a month after the NAC panel wrote the decision upholding the FINRA lifetime ban on non-parties William Scholander and Talman Harris. TheBlot. an on-line magazine. began publishing a series of articles defaming the plaintiff. The articles are described by plaintiff as falsely characterizing him as a "racist," an "Uncle Tom," as having an affair with a married woman, as being under investigation and implicated in fraud. Plaintiff also alleges that the defendants posted comments under a false identity and altered photographs of the plaintiff. Plaintiff claims that he is a private individual that had an excellent professional and personal reputation which has been damaged by the defendants' defamatory statements that resulted in the loss of work together with other damages (Mot. Wipper Aff .. Exh. A).
The guidance describes potential scenarios where the staff may recommend the recognition of a respondent's self-reporting, cooperation or remediation by the Commission in an enforcement action: (i) no self-reporting, cooperation, or remediation; (ii) no self-reporting, but cognizable cooperation and/or remediation that warrant recognition but not a recommended reduction in penalty; (iii) no self-reporting, but substantial cooperation and/or recognition resulting in a reduced penalty; and (v) self-reporting, substantial cooperation, and remediation resulting in a substantially reduced penalty.This staff guidance does not change DOE's existing practice regarding how it will evaluate self-reporting, cooperation, or remediation, or how enforcement staff will consider reductions in penalties in connection with self-reporting, cooperation or remediation in accordance with the self-reporting and cooperation advisories issued in 2017. [See CFTC Press Release No. 7518-17] Rather, it clarifies how that recognition will be reflected in CFTC enforcement orders.