Image of SEC Whistleblower Program: How might information about securities law violations "lead to" a successful SEC enforcement action?

SEC Whistleblower Program: How might information about securities law violations “lead to” a successful SEC enforcement action?

Information “leads to” a successful SEC action if it causes the SEC to:

  • Open an investigation;
  • Re-open a previously closed investigation;
  • Pursue a new line of inquiry; or
  • It the information significantly contributes to an open investigation.

Whistleblowers have enabled the SEC to protect investors, halt ongoing fraud, and recover more than $975 billion in penalties.  See our column in Forbes: One Billion Reasons Why The SEC Whistleblower-Reward Program Is Effective.

For more information about whistleblower rewards and bounties, contact the SEC whistleblower lawyers at Zuckerman Law at 202-262-8959.

To learn more about the SEC Whistleblower Program, download Zuckerman Law’s eBook: SEC Whistleblower Program: Tips from SEC Whistleblower Attorneys to Maximize an SEC Whistleblower Award:

SEC Whistleblower Program Tips from SEC Whistleblower Attorneys to Maximize an SEC Whistleblower Award

 

Tips for Qualifying for a SEC Whistleblower Award

 

SEC Whistleblower Bounties

 

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Information leads to a successful SEC action if it causes the SEC to open an investigation, or if it causes the SEC to reopen a previously closed investigation. It can also lead to a successful enforcement action if it causes the SEC to pursue a new line of inquiry, or if it significantly contributes to an already open investigation.

Avatar of Jason Zuckerman

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.

Avatar of Matthew Stock

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.