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
Why Hire an SEC Whistleblower Lawyer In contrast to False Claims Act (FCA) qui tam claims, a whistleblower reporting wrongdoing to the U.S. Securities and … Continued
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
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
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
The SEC’s International Reach Against Fraudsters Yes. The antifraud provisions of the federal securities laws apply extraterritorially: When the wrongful conduct occurred in the United States; … Continued
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
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
Yes, under the SEC’s whistleblower reward program, a disclosure to the SEC about a books and records violation that leads to a successful enforcement action … Continued
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
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
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