Securities Whistleblower Attorney
We Help Individuals Expose Securities Fraud and Other Securities Law Violations to the SEC
Securities fraud can take many different forms. From corporate violations of federal securities laws to fraud perpetrated by investment brokers and advisors, securities whistleblowers can report numerous violations to the U.S. Securities and Exchange Commission (SEC). Our attorneys help individuals come forward under the SEC Whistleblower Program, and we do so at no out-of-pocket cost to our clients.
If you are interested in speaking with a securities fraud whistleblower lawyer, we strongly encourage you to get in touch. Our team includes highly experienced SEC whistleblower lawyers—many of whom prosecuted securities fraud at the U.S. Department of Justice (DOJ) before entering private practice. As a result, we are extremely well versed in all relevant federal securities laws, and we have an intimate understanding of what it takes to successfully seek an SEC whistleblower award.
What Violations Can Securities Whistleblowers Report to the SEC?
Whistleblowers can report all types of securities violations to the SEC. The SEC accepts whistleblower cases involving violations of all federal securities laws and regulations, and we help SEC whistleblower clients come forward in cases involving all forms of civil and criminal misconduct. This includes (but is by no means limited to) cases involving:
Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) Violations
The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) establishes recordkeeping, reporting and other compliance obligations for covered entities. Companies that fail to strictly comply with the Dodd-Frank Act can face substantial monetary penalties in SEC enforcement actions and in federal court.
Financial Fraud
We help individuals file SEC whistleblower complaints in cases involving all forms of financial fraud. This includes everything from violating SEC rules regarding transparency and disclosure to domestic and foreign bribery. Our legal team has extensive experience in this area, including experience prosecuting financial fraud cases at the DOJ.
Investment Fraud
Our legal team also has extensive experience helping the federal government seek accountability for all forms of investment fraud. We help whistleblowers expose corporate misrepresentations and omissions, stock broker and investment advisor fraud, mutual fund fraud, and other forms of fraud that have caused (or that have the potential to cause) significant financial losses for investors.
Market Manipulation
Manipulation of the financial markets also has the potential to cause significant financial losses for investors. If you have information about market manipulation, our attorneys can determine if you are eligible to file a whistleblower claim with the SEC; and, if you are, we can use our experience representing SEC whistleblowers to help you come forward through the appropriate means.
Ponzi Schemes and Pyramid Schemes
Ponzi schemes and pyramid schemes have made a comeback in recent years. Here too, if you have information that can be used to pursue a successful SEC enforcement action, we can provide the legal representation you need to come forward and help the SEC pursue civil or criminal sanctions as warranted.
Sarbanes-Oxley Act (SOX) Violations
The Sarbanes-Oxley Act (SOX) also establishes recordkeeping and reporting requirements, as well as corporate transparency requirements and other compliance obligations for both public and private companies. If you have information about a possible violation of SOX that you believe warrants further investigation, our securities whistleblower attorneys can help you make an informed decision about coming forward.
Securities Exchange Act Violations
Financial misrepresentations and omissions, insider trading, and a wide range of other types of fraudulent securities-related practices fall within the scope of the Securities Exchange Act and its enabling regulations. If you have information about any type of Securities Exchange Act violation, our attorneys may be able to help you come forward and seek an SEC whistleblower reward.
This list is not exhaustive. Securities whistleblowers can report numerous other statutory and regulatory violations as well. We have experience representing whistleblowers in a wide range of cases; and, if you have questions about coming forward with any information that you believe may be of value to the SEC, we strongly encourage you to schedule a free and confidential consultation.
Whistleblower Rewards Are Available in Cases Involving Successful Enforcement Actions
SEC whistleblower rewards are available in cases involving successful enforcement actions. When eligible securities whistleblowers provide information that leads to a successful enforcement action resulting in the recovery of $1 million or more, they are entitled to a financial reward calculated as a percentage of the monetary sanctions collected. This ranges from 10% to 30% of the SEC’s recovery in most cases.
Among federal whistleblower reward programs, the SEC program is unique in that it allows whistleblowers to proceed anonymously and retain their reward eligibility. However, in this scenario, legal representation is legally required. If you are interested in coming forward anonymously, our attorneys can explain everything you need to know.
Why to Choose Our SEC Whistleblower Law Firm to Help You Blow the Whistle
If you are thinking about coming forward as a securities fraud whistleblower, why should you choose our law firm to represent you? Here is what we offer:
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:
- Strict Confidentiality – We have the technological resources required to maintain strict confidentiality. We will only disclose information that you authorize us to disclose, and we will protect your identity throughout the process.
- Extensive Experience – Our attorneys have extensive experience in federal securities fraud cases. This includes not only experience in private practice, but also experience prosecuting securities fraud at the U.S. Department of Justice (DOJ).
- Deep Insights – As a result of our experience, we are able to offer deep insights to our whistleblower clients. We know what it takes to help the SEC pursue successful enforcement actions, and we know what it takes to protect our clients’ whistleblower rights.
- Direct Representation – Throughout your case, you will work directly with our senior attorneys—and our senior attorneys will work directly with the SEC on your behalf. This direct representation helps ensure that nothing gets lost in translation.
- A Proven Track Record – We have a proven track record of success in federal securities fraud cases. We are more than happy to discuss our relevant experience with you during your free initial consultation.
FAQs: Blowing the Whistle on : Serving as a Securities Whistleblower with the SEC
Are securities whistleblowers entitled to a percentage of the monetary sanctions they help the SEC recover?
Yes, as a general rule, securities whistleblowers are entitled to a percentage of the monetary sanctions they help the SEC recover. To qualify for a whistleblower reward, securities whistleblowers must come forward through the appropriate means (i.e., through the SEC’s Whistleblower Program), and they must provide original information that the SEC can use to launch an investigation that ultimately leads to a successful enforcement action.
Does exposing securities fraud involve filing a qui tam complaint?
No, exposing securities fraud does not involve filing a qui tam complaint under the False Claims Act. Qui tam cases involve fraud under federal contracts, grants, and programs. To expose securities fraud as a whistleblower, eligible individuals must come forward by contacting the SEC’s Office of the Whistleblower. If you timely file a qualifying whistleblower complaint with the SEC, you will be entitled to a percentage of the penalties collected if your complaint leads to a successful enforcement action resulting in the recovery of $1 million or more.
What if my employer retaliates against me after I file a securities whistleblower complaint with the SEC?
Federal law strictly prohibits employers from retaliating against whistleblowers. This includes whistleblowers who file complaints with the SEC. While it is unlikely that your employer will discern your identity, if your employer discerns your identity and retaliates against you illegally, you will be entitled to double back pay, attorneys’ fees, and other remedies. As your whistleblower counsel, we will be prepared to take legal action against your employer if necessary.
Will I qualify for a whistleblower reward if I report securities fraud to the media?
To qualify for a securities whistleblower reward, you must provide original information to the SEC Office of the Whistleblower. This means that the information you provide must not yet be publicly known. As a result, if you contact the New York Times, the Wall Street Journal, or any other media outlet first, this will preclude you from seeking a whistleblower reward.
Do I need to hire a securities fraud whistleblower lawyer to help me come forward?
Technically, no. If you choose to do so, you can file a whistleblower complaint on your own and communicate with SEC staff directly. However, this can be both challenging and risky; and, as a result, it is in your best interests to work closely with an experienced securities fraud whistleblower lawyer throughout the process. Our lawyers represent securities fraud whistleblowers on a contingency-fee basis. This means that our clients pay nothing out of pocket for our legal representation. Contact us to learn more.
Contact Our Senior SEC Whistleblower Attorneys About Blowing the Whistle on Securities Fraud
If you are interested in speaking with a securities whistleblower attorney about coming forward, contact us today. Call 866-320-3959 or contact us confidentially online to speak with one of our senior attorneys in strict confidence as soon as possible.