SEC Whistleblower Attorney Archives

Are disclosures or complaints about internal controls protected under the SOX whistleblower law?

Internal Controls Whistleblowing Yes – disclosures about internal controls over financial reporting are protected under the Sarbanes-Oxley Act (SOX) whistleblower retaliation law. 17 C.F.R. § … Continued

What is a Ponzi scheme?

What is a Ponzi scheme? A Ponzi scheme is a type of investment fraud that leads investors to believe the “returns” on their investments are … Continued

What is a whistleblower?

What is a whistleblower? A whistleblower is a person who exposes wrongdoing. Federal and state laws offer whistleblowers rewards and whistleblower protections for exposing certain … Continued

How do I report securities fraud to the SEC?

How to Report Securities Fraud to the SEC To qualify for an award under the SEC Whistleblower Program, individuals must report securities fraud or securities … Continued

What is the SEC Office of the Whistleblower?

SEC Office of the Whistleblower In 2011, the SEC Office of the Whistleblower was created pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection … Continued

Can I receive an award for reporting financial statement fraud?

Awards for Reporting Financial Statement Fraud Yes. Under the SEC Whistleblower Program, eligible whistleblowers can receive an award for reporting financial statement fraud if their … Continued

What are SEC sanctions and penalties?

SEC Sanctions and Penalties The U.S. Securities and Exchange Commission (SEC) obtains billions of dollars each year in monetary sanctions from wrongdoers who violated the … Continued

What Issues Should I Consider Before Filing an SEC Whistleblower Complaint?

Issues to Consider Before Filing an SEC Whistleblower Complaint Every client’s potential matter is unique and requires analysis of the specific violation that the whistleblower … Continued

If I report my company’s inflated key performance metrics, can I qualify for an SEC whistleblower reward?

SEC Whistleblower Rewards for Reporting Inflated Key Performance Metrics Yes, under the SEC Whistleblower Program a disclosure to the SEC about a company’s falsely inflated … Continued

Can I report a Ponzi scheme and receive an SEC whistleblower award?

Ponzi Schemes and SEC Whistleblower Awards Under the SEC Whistleblower Program, eligible whistleblowers may receive an award for providing the SEC with original information about any … Continued

Can I report financial fraud and receive an SEC whistleblower award?

Whistleblower Awards for Reporting Financial Fraud Yes. Under the SEC Whistleblower Program, eligible whistleblowers may receive monetary awards when they voluntarily provide the SEC with original … Continued

What is a whistleblower reward?

Whistleblower Rewards for Reporting Wrongdoing A whistleblower reward is a monetary incentive offered by the government to individuals for exposing certain wrongdoing. Federal laws require … Continued