Zuckerman Law, one of the nation’s leading law firms representing whistleblowers in whistleblower rewards and whistleblower retaliation claims, has released a free eBook about the SEC’s Whistleblower Program. The SEC Whistleblower Program: Tips from SEC Whistleblower Attorneys to Maximize an SEC Whistleblower Award, which is available for download here, offers practical tips for whistleblowers and insights that the firm has gained in representing whistleblowers before the SEC.
The rules implementing the SEC Whistleblower Program are complex and there are many potential pitfalls for whistleblowers. Zuckerman Law is publishing the eBook to enable whistleblowers to quickly grasp the key facets of the SEC Whistleblower Program and highlight key steps that whistleblowers should take to increase the likelihood of recovering and maximizing an SEC whistleblower award.
SEC Whistleblower Program: Tips from SEC Whistleblower Attorneys to Maximize an SEC Whistleblower Award is authored by Jason Zuckerman and Matthew Stock. Zuckerman is a leading whistleblower lawyer whose cases have set precedent under various whistleblower protection laws. He served as Senior Legal Advisor to the Special Counsel at the U.S. Office of Special Counsel, the federal agency charged with protecting whistleblowers, and served on the DOL’s Whistleblower Protection Advisory Committee. Stock is a licensed CPA, CFE, and former external auditor who has extensive experience representing whistleblowers under the SEC and IRS Whistleblower Programs.
The whistleblower lawyers at Zuckerman Law have successfully represented whistleblowers before the SEC and in Sarbanes-Oxley whistleblower retaliation cases. The firm routinely works with whistleblowers nationwide and aboard to investigate and report a wide variety of fraudulent schemes, including:
- Accounting fraud;
- Investment and securities fraud;
- Foreign bribery and other FCPA violations;
- EB-5 investment fraud;
- Manipulation of a security’s price or volume;
- Fraudulent securities offerings and Ponzi schemes;
- Unregistered securities offerings;
- Investment adviser fraud;
- False or misleading statements about a company or investment; and
- Inadequate internal controls.
Since 2011, the SEC Whistleblower Office has received over 18,00 tips, some of which led to enforcement actions resulting in a total of over $584 million in sanctions (including more than $346 million in disgorgement and interest). The SEC has paid more than $150 million in awards to whistleblowers. In 2016 alone, the SEC awarded more than $57 million to whistleblowers.
In the SEC Whistleblower Program: Tips from SEC Whistleblower Attorneys to Maximize an SEC Whistleblower Award, the whistleblower lawyers at Zuckerman Law share their experience gained from representing whistleblowers before the SEC and cover the following topics:
Overview of the SEC Whistleblower Program
- What is the SEC Whistleblower Program?
- Can I submit an anonymous tip to the SEC Whistleblower Office?
- What employment protections are available for SEC whistleblowers?
- What violations qualify for an SEC whistleblower award?
- What are the largest SEC whistleblower awards?
Whistleblowers Eligible for an Award
- Who is an eligible SEC whistleblower?
- Can I submit a claim if I had involvement in the fraud or misconduct?
- Can I submit a tip if I agreed to a confidentiality provision in an employment/severance agreement?
- Can compliance personnel, auditors, officers or directors qualify for an SEC whistleblower award?
Reporting to the SEC and Maximizing Award Percentage
- When is the best time to report the fraud or misconduct to the SEC?
- Do I have to report the violation to my company before reporting the violation to the SEC?
- Can I submit an SEC Whistleblower claim if the SEC already has an open investigation into the matter?
- How do I submit a tip to the SEC?
- What type of evidence should I provide to the SEC?
- What factors does the SEC consider when determining the amount of the award?
- Why should I choose the Zuckerman Law to represent me in my SEC whistleblower claim?
After Reporting to the SEC
- What happens after I submit a tip to the SEC?
- How long does it take to receive an SEC whistleblower award?
Click here to download your free copy of the SEC Whistleblower Program: Tips from SEC Whistleblower Attorneys to Maximize an SEC Whistleblower Award.
- Auditors’ and accountants’ guide to SEC whistleblower awards, Accounting Today (April 2017)
- Whistleblower Protections and Incentives for Auditors and Accountants, Accounting Today (May 2016)
- EB-5 Visa Scandal Underscores the Critical Role Whistleblowers Play in Exposing EB-5 Fraud, National Law Review (April 2017)
- SEC Whistleblower Program: Exposing Insider Trading, National Law Review (March 2017)
- 5 Tips for SEC Whistleblowers and Lessons Learned from SEC Whistleblower Awards, National Law Review (March 2017)
- SEC Awards for Disclosures of Foreign Bribery or FCPA Violations, National Law Review (March 2017)
- Whistleblower Rewards and Bounties for Disclosures of Market Manipulation Schemes, National Law Review (February 2017)
- SEC Targeting Investment Adviser Fraud, National Law Review (February 2017)
- Compliance Personnel, Auditors, Officers and Directors Can Obtain SEC Whistleblower Awards, National Law Review (February 2017)
- SEC Whistleblower Program: What is the SEC Form TCR?, National Law Review (February 2017)
- Draining the Swap Requires Robust Whistleblower Protections and Incentives, Emory Corporate Governance and Accountability Review (January 2017)
- Tale of Two Whistleblowers: Lessons Learned from Today’s SEC Whistleblower Award, National Law Review (December 2016)
- Trump Administration Should Avoid Gutting SEC’s Remarkably Successful Whistleblower Reward Program, National Law Review (November 2016)
- Whistleblowers Help CFTC Obtain Record Penalties for Commodities Fraud, National Law Review (November 2016)
- Report Underscores Importance of Whistleblower Rewards and Protections for Internal Auditors, National Law Review (November 2016)