Whistleblower Attorneys’ Guide to SEC Whistleblower Program: Tips from SEC Whistleblower Attorneys

 

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Zuckerman Law, one of the nation’s leading law firms representing whistleblowers in whistleblower rewards and whistleblower retaliation claims, has released an 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 from successfully representing whistleblowers before the SEC.

The rules implementing the SEC Whistleblower Program are complex and there are many potential pitfalls for whistleblowers.  This guide enables 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.  Stock is a licensed CPA, CFE, and former external auditor who has extensive experience representing whistleblowers under the SEC and IRS Whistleblower Programs.

Since 2012, the SEC has paid more than $1.2 billion in awards to whistleblowers, including multi-million dollar awards to our clients. The largest SEC whistleblower award to date is $114 million. Since the program’s inception, whistleblower tips have enabled the SEC to order more than $5 billion in monetary sanctions against wrongdoers.

Whistleblowers may submit tips anonymously through an attorney. For many whistleblowers, it is imperative that their identity remain confidential when submitting information to the SEC.

An experienced SEC whistleblower attorney can skillfully guide whistleblowers through the process, maximizing the likelihood that their identity is not revealed to unauthorized parties. In addition, an experienced SEC whistleblower attorney can maximize the likelihood of recovering an SEC whistleblower award.

Recently the Association of Certified Fraud Examiners published a profile of Matt Stock’s success working with whistleblowers to fight fraud:

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Under the program, the SEC is authorized to issue payouts for original information about any violation of the federal securities laws, including:

If you have information that may qualify for an SEC whistleblower award, contact the Director of our SEC whistleblower practice directly at [email protected] or call our leading SEC whistleblower lawyers at (202) 930-5901 or (202) 262-8959. All inquiries are confidential.

In conjunction with our courageous clients, we have helped the SEC halt multi-million dollar investment schemes, expose violations at large publicly traded companies and return funds to defrauded investors. Read our tips for SEC whistleblowers and Forbes column about the success of the SEC whistleblower program.

How to Qualify for an SEC Whistleblower Award

Tips to Successfully Navigate the SEC Whistleblower Process

In this eguide, the SEC whistleblower lawyers at Zuckerman Law share their experience gained from successfully representing whistleblowers before the SEC concerning 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.

If you are seeking representation in an SEC whistleblower bounty case, click here, or call us at 202-262-8959 to schedule a free, confidential consultation.  See our column in Forbes:  One Billion Reasons Why The SEC Whistleblower-Reward Program Is Effective.

In addition to this new guide, the whistleblower attorneys at Zuckerman Law have authored several articles about whistleblower incentives and protections, including:

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Jason Zuckerman, Principal of Zuckerman Law, litigates whistleblower retaliation, qui tam, wrongful discharge, and other employment-related claims. He is rated 10 out of 10 by Avvo, was recognized by Washingtonian magazine as a “Top Whistleblower Lawyer” in 2015 and selected by his peers to be included in The Best Lawyers in America® and in SuperLawyers.

Matthew Stock is the Director of the Whistleblower Rewards Practice at Zuckerman Law. He represents whistleblowers around the world in SEC, CFTC and IRS whistleblower claims. He is also a Certified Public Accountant, Certified Fraud Examiner and former KPMG external auditor.