SEC Whistleblower Lawyers Archives

SEC Whistleblower Program: Do I have to report a securities law violation to my company before reporting the violation to the SEC?

In determining whether to report internally prior to reporting to the SEC, a whistleblower should consult with counsel to determine the optimal path forward … Continued

SEC Whistleblower Program: Can compliance personnel, auditors, officers or directors qualify for an SEC whistleblower award?

Compliance Personnel, Auditors, Officers, and Directors Can Obtain SEC Whistleblower Awards Compliance personnel, including internal auditors, external auditors, officers, and directors, may incorrectly assume that they are not … Continued

SEC Whistleblower Program: Can I submit a tip to the SEC if I was involved in the fraud or misconduct?

Yes, so long as you are not criminally charged. Indeed, the SEC has issued a few awards to whistleblowers that bore some degree … Continued

SEC Whistleblower Reward Program: Who is an “eligible” whistleblower for an award under the program?

Most individuals, regardless of citizenship, are “eligible” whistleblowers if they voluntarily provide the SEC with original information about a possible violation of the federal securities … Continued

What is the SEC Whistleblower Program?

SEC Whistleblower Program The SEC Whistleblower Program offers awards to eligible whistleblowers who provide original information that leads to successful SEC enforcement actions with total monetary sanctions exceeding $1 … Continued

Is threatening a countersuit against a whistleblower an act of retaliation?

Yes, some courts have held that threatening to sue a whistleblower can be retaliatory if the counterclaim (i) lacks “reasonable basis in fact or law” … Continued

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