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SEC Whistleblower Program: What violations qualify for an award?

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:

The SEC also has jurisdiction over additional violations as well. Whistleblowers should contact experienced SEC whistleblower lawyers to see if their claim qualifies.

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.

For more information about whistleblower rewards and bounties, click here and 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

 

These FAQs provide additional examples of the types of securities law violations that can qualify for an award:

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.

sox whistleblower attorneysThe 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.

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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.

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.