SEC whistleblower lawyers Archives

Whistleblower Law Firm Calls for Stronger Protections for Cybersecurity Whistleblowers

Whistleblower attorneys Dallas Hammer and Jason Zuckerman are urging the sponsor of the Personal Data Notification and Protection Act of 2017 (H.R. 3806) to add a provision to the bill protecting cybersecurity whistleblowers against retaliation. Based on their experience representing information security professionals, Hammer and Zuckerman have found that many cybersecurity whistleblowers have no recourse … Continued

Whistleblower Lawyer Zuckerman Will Speak on Panel About Whistleblowing in the Era of Sarbanes-Oxley and Dodd-Frank

Leading whistleblower lawyer Jason Zuckerman will speak at a symposium titled What Would We Do Without Them: Whistleblowers in the Era of Sarbanes-Oxley and Dodd-Frank. The symposium is sponsored by the The Journal of Corporate and Financial Law and Fordham Corporate Law Center. The keynote speaker is Jane Norberg, Chief of the SEC Office of the Whistleblower, and the other … Continued

Image of Cybersecurity Whistleblower Lawyer Dallas Hammer Will Speak at Webinar About Mastering Equifax, Data Security Law & Cyber Whistleblowing

Cybersecurity Whistleblower Lawyer Dallas Hammer Will Speak at Webinar About Mastering Equifax, Data Security Law & Cyber Whistleblowing

Whistleblower lawyer Dallas Hammer will speak at a webinar on November 30, 2017 titled Mastering Equifax, Data Security Law & Cyber Whistleblowing Law. Learn the latest on Mastering Equifax, Data Security Law & Cyber Whistleblowing Law with this convenient, live telephonic seminar. Mr. Hammer is privileged to join Renee Phillips, Partner at Orrick, and Co-Head of the firm’s … Continued

Report Improper Revenue Recognition and Qualify for an SEC Whistleblower Award

On September 7, 2017, the SEC announced that financial services firm State Street agreed to pay more than $35 million to settle charges that it fraudulently charged secret mark-ups for transition management services. According to the SEC’s order, the scheme generated approximately $20 million in improper revenue for the firm. After a client discovered the … Continued

Compliance Week Quotes SEC Whistleblower Attorney About Auditor Independence

SEC Whistleblower Attorney Matt Stock Quoted About Auditor Independence Compliance Week article quoted SEC whistleblower attorney Matt Stock in an article titled “Audit committees need to dig into personal relationships.” Matthew Stock, a former external auditor highlighted the impact that independence violations can have on external audit firms and issuers. In addition, he noted that … Continued

Appealing an SEC Whistleblower Award Determination

SEC Whistleblowers Denied Multimillion-Dollar Award On August 31, 2017, two whistleblowers appealed to the Second Circuit the SEC’s denial of a whistleblower award related to a 2012 enforcement action against Syntax-Brillian Corporation. According to the court filings, the whistleblowers provided information to the SEC that led to $60 million in civil fraud judgments against the … Continued

SEC Whistleblower Attorney Interviewed About Record SEC Whistleblower Award

Leading SEC whistleblower attorney Jason Zuckerman was interviewed by Advisor Hub, a publication covering the wealth management industry, about a forthcoming announcement by the SEC of what will likely be the largest SEC whistleblower award, stemming from a $267 million enforcement action against JPMorgan for failing to disclose conflicts of interest to clients. According to an SEC press … Continued

SEC to Announce Largest SEC Whistleblower Award to Date

J.P. Morgan Whistleblowers to Split $61 Million Award The SEC Whistleblower Office is set to announce its largest SEC whistleblower award to date – more than $61 million to two J.P. Morgan whistleblowers. Under the SEC’s whistleblower program, whistleblowers are eligible for awards when they provide original information to the SEC that leads to successful SEC … Continued

SEC Whistleblower Attorneys Publish Column in Forbes About Success of SEC Whistleblower Reward Program

One Billion Reasons Why The SEC Whistleblower-Reward Program Is Effective SEC whistleblower attorneys Jason Zuckerman and Matthew Stock of Zuckerman Law, a leading whistleblower law firm that represents U.S. and international whistleblowers before the SEC, published a column in Forbes about the SEC’s Whistleblower-Reward Program. In the column, One Billion Reasons Why The SEC Whistleblower-Reward … Continued

Shkreli Trial Reveals the Challenges Faced by Compliance Whistleblowers

In September 2015, Martin Shkreli became infamous after his company purchased the rights to an AIDS drug (Daraprim) and increased its price from $13.50 per pill to $750 per pill. This price gouging quickly earned Shkreli the title as “the most hated man in America.” Only a few months later, however, Shkreli got a … Continued

Money Laundering and the SEC Whistleblower Program

SEC Takes Aim at Broker-Dealers for Anti-Money Laundering Violations On June 5, 2017, the SEC charged brokerage firm Alpine Securities Corporation (Alpine) with securities law violations related to its ineffective anti-money laundering program. According to the SEC’s complaint, Alpine failed to adequately file suspicious activity reports (SARs) for at least 1,950 stock transactions that the … Continued

SEC Whistleblower Attorney Speaks At Seminar About Developments in Whistleblower Law

On June 28, 2017, Jason Zuckerman of Zuckerman Law spoke on a panel at the Practicing Law Institute’s Corporate Whistleblowing seminar alongside Renee Phillips, Co-Chair of Orrick’s Whistleblower Task Force, Jane Norberg, the head of the SEC’s Whistleblower Office, Christopher Ehrman, the head of the CFTC’s Whistleblower Office, and Teri Wigger, the assistant regional … Continued