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.

September 26, 2012
Americans Plan to Act in November and Beyond: New Survey Reveals Growing Frustration With Corporate Misconduct, Government’s Response
Labaton Sucharow
This week, we announced the results of our 2nd Annual Ethics & Action Survey: Voices Carry, which polled more than 1,000 Americans on corporate ethics and wrongdoing, the impact of corporate misconduct on the economy, government’s role in its repair and the impact on their voting decisions in November. Notably, 61 percent of respondents report...
Articles & Perspectives
September 25, 2012
Overwhelming Majority of Americans Oppose Corporate Corruption, So Why Aren’t Political Parties Listening?
International Business Times
A year ago, protestors gathered in New York City’s Financial District kicking off Occupy Wall Street, a grassroots movement protesting economic inequality, greed and corruption. With a rallying cry of “We are the 99 percent,” the protests quickly grew in size and spread to cities across the country. Ultimately, Occupy Wall Street has failed to...
Articles & Perspectives
September 24, 2012
Federal Whistleblower Programs at Work: IRS to Pay Whistleblower $104 Million
Labaton Sucharow
On the heels of the SEC’s announcement of its first whistleblower award, the IRS announced last week that it would pay one of its first awards—a startling $104 million—to a former UBS banker, Bradley Birkenfeld, who aided the government in connection with its investigation into the bank’s practice of helping wealthy U.S. taxpayers hide billions...
Articles & Perspectives
September 12, 2012
Rebel With a Cause?
The ABA Journal, a publication of the American Bar Association, has just announced its Legal Rebels for 2012. I was honored to be counted in the list of 11 Legal Rebels who come from a wide range of practices and firms across the nation. Now in its fourth year, this is the journal’s “annual nod...
Articles & Perspectives
September 4, 2012
How Wall Street Creates Criminals
USA Today
Articles & Perspectives
August 23, 2012
A Powerful Partnership in Full Swing: SEC Issues First Award to Whistleblower
Labaton Sucharow
Yesterday, just one year after the final rules of the SEC Whistleblower Program became effective, the agency has issued its first whistleblower award. This is a pivotal moment for prospective whistleblowers, investors and the public at large. There are several remarkable points to note about this first award. First, the timing of this award underscores...
Articles & Perspectives
August 21, 2012
When Can an Officer Blow the Whistle?
Risk Management Magazine
Articles & Perspectives
August 20, 2012
Is Bigger Necessarily Better? Recent ERC Survey Examines Workplace Ethics Within Fortune 500
Labaton Sucharow
The Ethics Resource Center (ERC), a definitive organization in the ethics and compliance arena, has just released the results of a first-of-its-kind survey of workplace ethics within the nation’s most powerful companies. Conducted in June of this year, the survey marks the first comprehensive pulse-taking of Fortune 500 employees’ views on workplace ethics. The results...
Articles & Perspectives
August 14, 2012
The Mechanics of a Whistleblower Submission: Recent Guidance from the SEC
Labaton Sucharow
In a newly released video, Sean McKessy, Chief of the SEC’s Office of the Whistleblower, provided useful ‘tips on tips’ to help prospective whistleblowers understand the basics of a whistleblower submission to the SEC. Three important takeaways from the video are: (1) Whistleblower submissions should be as specific as possible. The more detailed information the...
Articles & Perspectives
July 30, 2012
Are You Eligible to be an SEC Whistleblower?
Labaton Sucharow
About the Program Established under the Dodd-Frank Wall Street Reform and Consumer Protection Act, the SEC Whistleblower Program provides eligible whistleblowers with significant monetary awards, employment protections, and the ability to report misconduct anonymously. Tips must be provided to the Commission voluntarily, the information must be original and, to qualify for an award, the tip...
Articles & Perspectives
July 26, 2012
Four Years of Reform and Recovery, and Still…Survey Reveals A Need for a Renewed Focus on Corporate Integrity in the Financial Services Industry
Despite a nagging suspicion that Gordon Gekko continues his reign as the model titan of Wall Street, most of us want to believe that in the wake of the economic collapse, things have changed. We cross our fingers, guard our pensions and pray that it’s not just regulators that keep the industry in balance, but...
Articles & Perspectives
July 2, 2012
When Can a Corporation’s Lawyer Blow the Whistle?
Corporate Counsel
In this article, published in Corporate Counsel, Jordan A. Thomas and Bruce Green weigh in on how whistleblowing attorneys can be protected when participating in the SEC Whistleblower program, while continuing to the adhere to the ABA professional conduct guidelines. Due to the nature of the legal profession, “attorney whistleblowers are likely to be rare,...
Articles & Perspectives
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
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