SEC Whistleblower Lawyers Archives

Can an SEC whistleblower obtain an award from a payment made under a DOJ deferred prosecution agreement or non-prosecution agreement?

Awards Paid from a Deferred Prosecution Agreement or Non-Prosecution Agreement In September 2020, the SEC revised its whistleblower rules to add a new paragraph (3) to … Continued

How to “Perfect” an SEC Whistleblower Tip to Qualify for an SEC Whistleblower Award

How to “Perfect” an SEC Whistleblower Tip to Qualify for an SEC Whistleblower Award The rules of the SEC Whistleblower Program require whistleblowers to follow … Continued

Are disclosures or complaints about the books and records provisions of the FCPA protected under SOX?

FCPA Whistleblower Protection Yes – some disclosures or complaints about the books and records provisions of the Foreign Corrupt Practices Act (FCPA) are protected under … Continued

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

Are culpable whistleblowers eligible to receive SEC whistleblower awards?

Yes. In many circumstances, culpable whistleblowers are eligible to receive SEC whistleblowers awards (see limitations below). The final rules of the SEC Whistleblower Program recognize … Continued

What is the Statute of Limitations for SEC Whistleblower Reward Cases?

Statute of Limitations for SEC Whistleblower Reward Cases The statute of limitations impacting SEC whistleblower reward cases is, with few exceptions, five years from … Continued

Why hire an SEC whistleblower lawyer?

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 do I report securities fraud to the SEC and get an SEC whistleblower award?

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

Can the SEC bring enforcement actions against international schemes?

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 … Continued