SEC Whistleblower Bounty Archives

Can an SEC whistleblower obtain an award from a payment made under a DOJ deferred prosecution agreement or non-prosecution agreement?

Awards Paid from a Deferred Prosecution Agreement or Non-Prosecution Agreement In September 2020, the SEC revised its whistleblower rules to add a new paragraph (3) to … Continued

How to “Perfect” an SEC Whistleblower Tip to Qualify for an SEC Whistleblower Award

How to “Perfect” an SEC Whistleblower Tip to Qualify for an SEC Whistleblower Award The rules of the SEC Whistleblower Program require whistleblowers to follow … Continued

Are disclosures or complaints about internal controls protected under the SOX whistleblower law?

Internal Controls Whistleblowing Yes – disclosures about internal controls over financial reporting are protected under the Sarbanes-Oxley Act (SOX) whistleblower retaliation law. 17 C.F.R. § … Continued

Are culpable whistleblowers eligible to receive SEC whistleblower awards?

Yes. In many circumstances, culpable whistleblowers are eligible to receive SEC whistleblowers awards (see limitations below). The final rules of the SEC Whistleblower Program recognize … Continued

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 … Continued

How do I report securities fraud to the SEC and get an SEC whistleblower award?

How to Report Securities Fraud to the SEC To qualify for an award under the SEC Whistleblower Program, individuals must report securities fraud or … Continued

What is the SEC Office of the Whistleblower?

SEC Office of the Whistleblower In 2011, the SEC Office of the Whistleblower was created pursuant to the Dodd-Frank Wall Street Reform and Consumer … Continued

Can I receive an award for reporting financial statement fraud?

Awards for Reporting Financial Statement Fraud Yes. Under the SEC Whistleblower Program, eligible whistleblowers can receive an award for reporting financial statement fraud if their … Continued

Can the SEC bring enforcement actions against international schemes?

The SEC’s International Reach Against Fraudsters Yes. The antifraud provisions of the federal securities laws apply extraterritorially: When the wrongful conduct occurred in the United … Continued

What are SEC sanctions and penalties?

SEC Sanctions and Penalties The U.S. Securities and Exchange Commission (SEC) obtains billions of dollars each year in monetary sanctions for violations of the federal securities … Continued

What Issues Should I Consider Before Filing an SEC Whistleblower Complaint?

Issues to Consider Before Filing an SEC Whistleblower Complaint Every client’s potential matter is unique and requires analysis of the specific violation that the … Continued

SEC Whistleblower Awards: Can a whistleblower get an award for reporting books and records violations?

Yes, under the SEC’s whistleblower reward program, a disclosure to the SEC about a books and records violation that leads to a successful enforcement action … Continued