Violations of the Federal Securities Laws
Any violation of the federal securities laws qualifies for an SEC whistleblower award. The SEC has broad jurisdiction over a wide range of industries and entities—both public and private. The most common tips involve:
- Accounting fraud;
- Investment and securities fraud;
- Insider trading;
- Foreign bribery and other FCPA violations;
- EB-5 investment fraud;
- Manipulation of a security’s price or volume;
- Fraudulent securities offerings and Ponzi schemes;
- Hedge fund fraud;
- Unregistered securities offerings;
- Investment adviser fraud;
- Broker-dealer anti-money laundering program violations;
- False or misleading statements about a company or investment;
- Inadequate internal controls;
- Deceptive non-GAAP financials;
- Improper revenue recognition;
- Violations of auditor independence rules;
- Misleading or incomplete cybersecurity disclosures; and
- Blockchain and cryptocurrency fraud.
In addition, whistleblowers can determine potential penalties for the violations. Under the SEC Whistleblower Program, a whistleblower’s tip must lead to monetary sanctions (penalties, disgorgement and interest) in excess of $1 million to be eligible for an award. Click below to hear SEC whistleblower lawyer Matt Stock’s tips for SEC whistleblowers:
SEC Whistleblower Law Firm
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:
- See our column in Forbes: One Billion Reasons Why The SEC Whistleblower-Reward Program Is Effective.
- See our column in Going Concern: Sarbanes-Oxley 15 Years Later: Accountants Need to Speak Up Now More Than Ever.
- See our post in Accounting Today: Whistleblower Protections and Incentives for Auditors and Accountants.
- See our article providing Tips for SEC Whistleblowers
SEC Whistleblower FAQs
These FAQs provide additional examples of the types of securities law violations that can qualify for an award:
- Can a Whistleblower Disclosure About Misleading Earnings Projections Qualify for an SEC Whistleblower Award?
- Can a whistleblower disclosure to the SEC about cybersecurity qualify for a SEC whistleblower award?
- SEC Whistleblower-Reward Program is a Critical Tool to Combat EB-5 Investment Fraud
- Report Improper Revenue Recognition and Qualify for an SEC Whistleblower Award
- Money Laundering and the SEC Whistleblower Program
- Can a whistleblower get an award for reporting books and record violations?
Eligibility for a SEC Whistleblower Bounty and Tips for SEC Whistleblowers
Lawyers Representing SEC Whistleblowers
Process Governing SEC Whistleblower Program
SEC Whistleblower Awards
Are SEC Whistleblowers Protected From Retaliation?
Several statutes, including the Dodd-Frank Act, protect SEC whistleblowers against retaliation. To learn more about remedies to combat retaliation against SEC whistleblowers, click here.
One of the remedies for a whistleblower suffering retaliation is a claim under the Sarbanes-Oxley Act. To learn more about SOX whistleblower protection, download our free guide titled Sarbanes-Oxley Whistleblower Protection: Robust Protection for Corporate Whistleblowers:
Call us today for a free confidential consultation about your corporate whistleblower case. We can be reached at 202-262-8959 or by clicking here.
The SOX whistleblower lawyers at Zuckerman Law have represented CEOs, CFOs, in-house counsel, partners at audit firms and other senior professionals in high-stakes whistleblower matters. Click here to read reviews and testimonials from former clients.whistleblower_lawyers_012017_infographic
Any violation of federal securities laws qualifies for an award under the SEC Whistleblower Program. The FCC has broad jurisdiction over both public and private entities. The most common tips that the SEC receives involve violations in public filings, investment violations, and insider trading tips. However, other notable areas of SEC enforcement include things such a foreign bribery, EB-5 fraud, and even auditor independence violations.