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Why hire an SEC whistleblower lawyer?

Why Hire an SEC Whistleblower Lawyer 

In contrast to False Claims Act (FCA) qui tam claims, a whistleblower reporting wrongdoing to the U.S. Securities and Exchange Commission (SEC) is not required to retain counsel. So why should a whistleblower consider retaining counsel? Hiring an effective and experienced SEC whistleblower law firm can significantly increase your chances of recovering and maximizing an SEC whistleblower award.

How can an experienced SEC whistleblower law firm assist you?

Blow the Whistle Anonymously

The SEC allows whistleblower to submit tips anonymously if represented by counsel. For most of Zuckerman Law’s clients, it is imperative that their identity remain confidential throughout the process. Therefore, our experienced SEC whistleblower attorneys prioritize protecting our clients’ identities and take the necessary steps to minimize any risk that a client’s identity could be exposed.

For more information, see Anonymous Whistleblowing: Does the SEC Whistleblower Program Protect a Whistleblower’s Identity?

Preparing an Effective SEC Whistleblower Submission

The SEC Whistleblower Office receives more than 4,000 Form TCR submissions per year and has limited resources. It is critical that whistleblowers and their attorneys prepare submissions that grab the SEC’s attention and provide a roadmap for a successful enforcement action. Indeed, most successful whistleblower submissions involve and include far more than filling out a form on the SEC’s website.

Unlike many whistleblower law firms, Zuckerman Law has a full-time in-house certified public accountant (CPA) and certified fraud examiner (CFE) to analyze complex frauds. We leverage our expertise and experience working with the SEC to:

  1. Maximize the likelihood that the SEC Division of Enforcement acts on our client’s tip; and
  2. Maximize the percentage of our client’s future award.

For more information, see What happens after I submit a tip to the SEC?

Advocating Effectively to Secure a High Whistleblower Award

When the SEC takes an enforcement action based on a tip provided by a whistleblower, there is no guarantee that the whistleblower will receive an award. Instead, the whistleblower can apply for an award and navigate a complex process to try to obtain an award. An experienced SEC whistleblower firm can prepare a detailed award application to persuade the SEC to grant the whistleblower a substantial award.

For more information, see What happens after I apply for an SEC whistleblower award?

Choosing an Effective SEC Whistleblower Law Firm

What are some questions to ask when evaluating which firm to hire?

  • What results has the firm achieved for clients at the SEC?
  • What are the firm’s capabilities to investigate complex fraud schemes?
  • What is the firm’s experience working effectively with SEC attorneys and accountants?

Whistleblower Law Firm Representing SEC Whistleblowers

Our attorneys have been representing whistleblowers at the SEC before Congress created the Dodd-Frank SEC Whistleblower-Reward Program. Since the inception of the program, we have worked effectively with the SEC and its Enforcement Division to combat many types of fraudulent schemes, including, but not limited to:

How to Get an SEC Whistleblower Award

SEC Whistleblower Process

Resources About the SEC Whistleblower Program

These frequently asked questions provide an overview of key facets of the SEC Whistleblower Program.  Every case is unique.  To schedule a free, confidential consultation, call us at 202-262-8959.

  1. What is the SEC Whistleblower Program?
  2. What violations qualify for an SEC whistleblower award?
  3. How can I submit a tip to the SEC?
  4. Why should I choose the Zuckerman Law to represent me in my SEC whistleblower claim?
  5. Can I submit an anonymous tip to the SEC Whistleblower Office?
  6. When is the best time to report the fraud or misconduct to the SEC?
  7. Can I submit an SEC Whistleblower claim if the SEC already has an open investigation into the matter?
  8. Who is an “eligible” SEC whistleblower?
  9. Can compliance personnel, auditors, officers or directors qualify for an SEC whistleblower award?
  10. What is “original information”?
  11. How might my information “lead to” a successful SEC enforcement action?
  12. Can I submit a claim if I had involvement in the fraud or misconduct?
  13. Do I have to report a securities law violations to my company before reporting the violation to the SEC?
  14. Can I submit a tip if I agreed to a confidentiality provision in an employment/severance agreement?
  15. What factors does the SEC consider when determining the amount of the award?
  16. What employment protections are available for SEC whistleblowers?
  17. What type of evidence should I provide to the SEC?
  18. What happens after I submit a tip to the SEC?
  19. How long does it take to receive an SEC whistleblower award?
  20. What are the largest SEC whistleblower awards?

 

 

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.