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Articles & Perspectives

With more than a century of combined experience prosecuting some of the most complex securities frauds in history, our team possesses expansive knowledge on topics ranging from legal and regulatory frameworks, corporate governance and ethics, to auditing reform, in-house compliance systems and internal investigations. As a result, we are regularly called upon both to author and comment on sophisticated topics for major media and, as bloggers for our own audience, to examine top-of-mind issues with a fresh and substantive perspective.

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April 17, 2013
New Survey Reveals Problems in the Hedge Fund Industry; Affirms Importance of the SEC Whistleblower Program
Labaton Sucharow
Earlier this month, we announced the results of a survey that we conducted in partnership with HedgeWorld and the Hedge Fund Association. The survey polled U.S. hedge fund professionals on the prevalence of misconduct in the workplace and the effectiveness of firm leadership and the government in curtailing and responding to securities violations.The results revealed...
Articles & Perspectives
January 1, 2013
Enhanced Protections for Whistleblowers Under the Dodd-Frank Act
CPA Journal
The Responsibilities, Rights, and Risks of Reporting Fraud CPAs play an important role in protecting investors, and their primary duty is to serve the public-that is, all “who rely on the objectivity and integrity of certified public accountants to maintain the orderly functioning of commerce,” according to the AICPA Code of Professional Conduct (ET section...
Articles & Perspectives
December 4, 2012
Mapping Misconduct: Looking Back, Looking Ahead – First-of-its-Kind Database Offers Insights into SEC Enforcement
Labaton Sucharow
As an SEC Whistleblower Advocate, I have discovered that even the most sophisticated individuals often have questions regarding what constitutes a securities violation and how similar violations have been handled by the SEC in the past. To help our clients to make informed reporting decisions, we have conducted a detailed analysis of SEC enforcement actions...
Articles & Perspectives
November 30, 2012
Ethisphere Institute 2012 Attorneys Who Matter “Rising Star”
Jordan A. Thomas was recently named a “Rising Star” in the esteemed ranking, 2012 Attorneys Who Matter, by the Ethisphere Institute, a leading international think tank focused on business ethics, corporate social responsibility, anti-corruption and sustainability. In its ranking, Ethisphere recognizes leading practitioners in a wide range of legal disciplines within government, private law practice...
Articles & Perspectives
November 26, 2012
Whistleblowing in the Corporate World Series: Rights & Responsibilities of the Corporate Insider
Labaton Sucharow
Despite increasing efforts to establish ethical practices in the workplace, too often misconduct goes undetected and unreported to business leaders or law enforcement. Corporate leaders are on notice; as risk rises to the top, so too does responsibility. This webinar, the final presentation in our six-part series presented with Thomson Reuters, examines the rights and...
Articles & Perspectives
November 16, 2012
SEC Releases Annual Report on the SEC Whistleblower Program: First Full-Year Analysis Reveals Positive Growth
Labaton Sucharow
Yesterday, the SEC released its annual report to Congress on the SEC Whistleblower Program, the first full-year analysis of the program since its enactment by the Dodd-Frank Wall Street Reform and Consumer Protection Act. According to the report, the SEC received 3001 tips, complaints and referrals from whistleblowers in all 50 states, the District of...
Articles & Perspectives
November 14, 2012
Whistleblowing in the Corporate World Series: The SEC Enforcement Process
Labaton Sucharow
As federal agencies heighten regulatory scrutiny, and programs like the SEC Whistleblower Program invite everyday citizens to play a role in the enforcement process, it is critical to understand how the SEC and its enforcement process work. In An Insider Guide to the SEC Enforcement Process, the fourth in our six-part webinar series presented with...
Articles & Perspectives
November 1, 2012
Corporate Ethics: The Brand You Can’t Buy
Labaton Sucharow
I was fortunate to speak on a panel recently at the prestigious Commit! Forum, an annual conference organized by Corporate Responsibility Magazine, for a session entitled “The Best Brand You Can’t Buy–Establishing an Ethical Brand.” Joined on the panel by Jennifer Prosek, the founder and CEO of communications firm Prosek Partners, we addressed how responsible...
Articles & Perspectives
October 23, 2012
Get There and Get it Right: 2012 Corporate Whistleblowing Forum–December 4, 2012
Corporate Ethics isn’t just something I blog about, it’s something I believe in, something that [Jordan Thomas][prior firm][‘s] has been committed to strengthening for 50 years. With that in mind, I am pleased to announce a program I am chairing, the 2012 Corporate Whistleblowers Forum, which will take place in New York City later this...
Articles & Perspectives
October 16, 2012
Whistleblowing Can Be Fun…
Labaton Sucharow
I am pleased to share an animated video created by my former colleague at the SEC, David Smyth. Through his short film, Whistleblower!, Smyth, who now works in the private sector at the law firm of Brooks, Pierce, McLendon, Humphrey & Leonard LLP, outlines some of the key provisions of the SEC Whistleblower Program. The...
Articles & Perspectives
October 3, 2012
Thomson Reuters’ Legal Education Arm and [Jordan Thomas][Prior Firm][‘s] Join Forces: Six-Part Webinar Series Launched
Labaton Sucharow
In August, we launched the first in a six-part series, Whistleblowing in the Corporate World, presented with West LegalEd, part of Thomson Reuters. Our first webinar kicked off with “The Advent of the SEC Whistleblower Program” in which I provide an overview of the origins, mechanics, scope and implications of this important investor protection program....
Articles & Perspectives
October 1, 2012
Op-Ed in International Business Times: Political Response to Corruption May Lead to Watershed Moment in November
Labaton Sucharow
Is corporate corruption a top-of-mind issue for most Americans? It certainly is. Recent data from our 2nd Annual Ethics & Action Survey underscores that a majority of Americans not only see a causal connection between corporate misconduct and the economic crisis, but the political response to corporate corruption is likely to be a significant factor...
Articles & Perspectives
Featured
December 2, 2019
Understanding the Factors that Determine an SEC Whistleblower Award: Opportunities & Outcomes
Jordan A. Thomas As the SEC Whistleblower Program grows in awareness ($387 million in awards to date is pretty good advertising) more and more individuals explore the investor protection initiative that provides eligible whistleblowers monetary incentives and employment protections with the comfort of anonymous reporting. The program has been such an unmitigated success that between...
Articles & Perspectives
July 23, 2019
SEC Whistleblower Program Surpasses $2 Billion in Monetary Sanctions With Latest Whistleblower Award
The Securities and Exchange Commission (SEC) awarded a half-million dollars “to an overseas whistleblower whose expeditious reporting helped the Commission bring a successful enforcement action.” The Commission’s press release further reports that, with this and other recent enforcement actions brought as a result of tips from SEC whistleblowers, the SEC Whistleblower Program has yielded more than $2...
Articles & Perspectives
July 24, 2018
Private: Dashboard: Fast Facts from the ECI’s 2018 State of Ethics & Compliance in the Workplace
Corporate Whistleblower Watch
47% of employees said that within the last 12 months they observed conduct that either violated organizational standards or the law. 69% of employees reported the misconduct that they observed. 44% of employees who reported misconduct experienced retaliation, double the figure in 2013. 16% of employees experienced pressure to compromise standards 40% of employees believed...
Articles & Perspectives
Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal, NPR and The New Yorker
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