SEC Whistleblower Attorney

Are You Eligible to Come Forward Under the SEC’s Whistleblower Program?

The U.S. Securities and Exchange Commission (SEC) actively enforces corporations, brokerage firms, and other entities’ and individuals’ compliance obligations under federal law. It targets entities and individuals suspected of all forms of accounting fraud and investment fraud, and it aggressively pursues enforcement actions targeting both statutory and regulatory violations.

But, it also relies heavily on whistleblowers to come forward.

In many cases, the SEC won’t know that an enforcement action is warranted until it receives a whistleblower complaint. If you are prepared to report securities fraud to the SEC, we can help. Our SEC whistleblower lawyers represent individuals nationwide, and we provide legal representation on a contingency-fee basis to our whistleblower clients.

Grounds to File a Whistleblower Complaint with the SEC

Whistleblowers can report all types of securities violations to the SEC. When you schedule a confidential consultation with an SEC whistleblower lawyer at our firm, your lawyer will assess whether the information you have in your possession is sufficient to secure the whistleblower protections that are available. Your lawyer will also assess your likelihood of being able to secure an SEC whistleblower award.

Some examples of potential grounds to file an SEC whistleblower claim include:

Corporate Financial Fraud

The Securities Exchange Act, Sarbanes-Oxley Act (SOX), SEC regulations, and other sources of federal authority establish extensive compliance obligations for corporate securities issuers. These include obligations related to corporate accounting and financial disclosures. From falsifying financial statements and reporting fraud to attempting to improperly influence investors’ decisions or the financial markets, numerous forms of corporate financial fraud can justify initiating an SEC whistleblower case.

Dodd-Frank Act Violations

Violations of the Dodd-Frank Act can serve as clear grounds for whistleblower complaints as well. Whistleblowers can report Dodd-Frank Act violations committed by both private and publicly traded companies, including violations committed by senior executives with the goal to deceive investors or the markets. Similar to other statutory and regulatory violations, when Dodd-Frank Act violations lead to financial losses, the SEC can seek to recover both compensation for investors’ losses and monetary sanctions.

Federal Securities Law Violations

Along with corporate financial fraud and Dodd-Frank Act violations, the SEC Office of the Whistleblower also accepts complaints involving all other federal securities law violations. This includes (but is by no means limited to):

• Broker-dealer fraud
• Insider trading (including sharing insider knowledge)
• Investment advisor fraud
• Securities market manipulation
• Unlawful unregistered securities offerings

Eligible whistleblowers can report numerous other violations of the United States’ complex securities laws as well. Ultimately, if you have information about any violation that warrants SEC enforcement action and/or securities litigation in federal court, our lawyers can help you come forward and then work with the SEC on your behalf during its investigation.

Ponzi Schemes and Pump-and-Dump Schemes

Ponzi schemes and pump-and-dump schemes have seen a resurgence in recent years. Along with the SEC, other law enforcement agencies frequently get involved in these cases as well. We have experience representing whistleblowers in matters involving the U.S. Department of Justice (DOJ), Federal Bureau of Investigation (FBI), and other federal law enforcement and regulatory authorities, and we can use our experience to help you fight for accountability.

Other Forms of Corporate Misconduct

Federal securities laws and SEC rules prohibit many other forms of corporate fraud and corporate misconduct as well. The SEC also enforces (or assists with the enforcement of) various federal laws that are not specific to securities regulation and enforcement. With this in mind, we can also help whistleblowers report offenses such as:

• Anti-Money Laundering Act (AMLA) violations
• Bank Secrecy Act (BSA) violations
• Foreign Corrupt Practices Act (FCPA) violations (including bribery of foreign officials)
• False Claims Act (FCA) violations
• Internal Revenue Code (IRC) violations

Federal whistleblower laws protect individuals who disclose these (and other) violations through the appropriate means. In many cases, this involves coming forward under the SEC’s whistleblower program. As discussed in greater detail below, the SEC is committed to protecting whistleblowers, and SEC whistleblowers will be entitled to financial awards in many cases.

About the SEC’s Whistleblower Program

The SEC’s whistleblower program has proven extremely effective, and it has served as the model for other federal whistleblower programs established in recent years. Here are some key facts to know about the program as a prospective SEC whistleblower:

1. Whistleblowers Must Be Prepared to Provide Original Information

The SEC accepts whistleblower complaints involving “original information,” or information that is not currently known to the federal government. When you engage our law firm to represent you, our legal team will engage with the SEC proactively to determine your eligibility.

2. Whistleblowers Must Come Forward Through Appropriate Means

Whistleblower rights are afforded to individuals who come forward with original information through the appropriate means. If you are eligible to serve as an SEC whistleblower, our attorneys can prepare and file your whistleblower complaint on your behalf.

3. Whistleblowers Are Entitled to a Percentage of Any Monetary Sanctions Recovered

When a whistleblower complaint leads to a successful SEC enforcement action, the whistleblower is entitled to an award calculated as a percentage of the monetary sanctions collected. Potential monetary awards in SEC whistleblower cases can be substantial, and our lawyers can assist with establishing and maximizing your award eligibility.

Why to Choose Our SEC Whistleblower Law Firm to Represent You

If you are interested in serving as an SEC whistleblower, why should you contact us instead of some other law firm? Here are five reasons why federal whistleblowers choose our team to represent them:

• Whistleblower representation is a core focus of our practice. We have extensive experience helping whistleblowers come forward to the SEC and other federal agencies.
• We have a national reputation for effective whistleblower representation. As a result of our experience in this area, we are well-known for our whistleblower representation.
• We are committed to protecting our clients’ legal rights. The SEC is obligated to protect a whistleblower’s identity, and we work hard to make sure our clients’ names remain undisclosed.
• We are committed to maximizing our clients’ whistleblower awards. If your whistleblower complaint leads to a successful enforcement action, we will seek an appropriate monetary award on your behalf.
• We represent whistleblowers at no out-of-pocket cost. With our firm’s contingency-fee representation in whistleblower cases, our legal fees (if any) are paid out of the government’s recovery in successful cases.

FAQs: Blowing the Whistle on Securities Fraud or Another Violation of Federal Securities Laws

Schedule a Free and Confidential Consultation with an SEC Whistleblower Attorney Today

If you are interested in learning more about reporting insider trading, corporate fraud, or any other securities violation to the SEC, we can provide the insights you need to make informed decisions about your next steps. Call 866-320-3959 or contact us confidentially online to schedule a free and confidential consultation with an experienced SEC whistleblower attorney.

Additional Pages and Information

• SEC Whistleblower Reward