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.

June 26, 2012
Corporate Lawyers as Whistleblowers
Labaton Sucharow
At one time, attorneys’ duty to maintain corporate clients’ confidences, even in the face of anticipated or ongoing corporate wrongdoing, was thought to be virtually absolute. But that changed over time, as relevant rules and laws gave lawyers greater discretion to make public disclosures to avert corporate clients’ misconduct. And now, following the enactment of...
Articles & Perspectives
June 11, 2012
Unleashing the Potential of the SEC Whistleblower Provisions
David Callahan, the co-founder and Senior Fellow of the public policy group Demos, penned an informative blog post on the SEC’s latest arsenal in combating securities violations, the new Whistleblower provisions. The posts include two surveys whose findings demonstrate the huge potential of the new laws. There has been a positive and proactive response to...
Articles & Perspectives
June 6, 2012
Balancing Conscience and Confidentiality for Attorney Whistleblowers
Corporate Counsel
Attorneys-in-house and outside counsel alike-often stand at the crossroads of corporate misconduct. At one time, attorneys’ duty to maintain corporate clients’ confidences was thought to be virtually absolute. But that changed over time, as relevant rules and laws gave lawyers greater discretion to make public disclosures to avert clients’ anticipated or ongoing wrongdoing. And now,...
Articles & Perspectives
May 29, 2012
Survey Suggests SEC Whistleblower Program Has Not Significantly Affected Internal Reporting, Still Companies Should Do More
Labaton Sucharow
In August and September 2011, surveyed the impact of the SEC Whistleblower Program and how companies are responding to the whistleblower provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act. Contrary to the significant concerns expressed by the corporate community during the legislative and regulatory process, more than a year after the...
Articles & Perspectives
May 7, 2012
Corporate Executives Concerned About Whistleblowers, Survey Finds
Labaton Sucharow
An October 2011 survey by law firm Littler Mendelson indicated that 96% of executives surveyed are at least moderately concerned about potential whistleblower claims against their companies in light of the Securities and Exchange Commission’s (SEC) new whistleblower program. The firm’s survey of senior legal, compliance and human resources executives at publicly traded or highly-regulated...
Articles & Perspectives
May 3, 2012
SEC Criticized Over Revelation of a Whistleblower’s Identity
Labaton Sucharow
The Securities and Exchange Commission (SEC), having faced significant criticism in recent years, was dealt another PR blow in a recent Wall Street Journal article reporting the agency’s “inadvertent” outing of an SEC whistleblower. According to the article, the disclosure occurred during an investigation of Pipeline Trading Systems LLC, when an SEC lawyer shared the...
Articles & Perspectives
May 1, 2012
Blowing the Whistle Without Fear
Accounting Today
Jordan Thomas co-authored an article for Accouting Today, informing accountants on how they can participate in the SEC Whistleblower Program without fear of retaliation.
Articles & Perspectives
April 30, 2012
The Power of One: The Goldman Lesson
Labaton Sucharow
Whether you’re a Facebooker, Twitter is your information on-ramp of choice, or you still hold stubbornly to good old-fashioned newsprint, chances are, on March 14 you heard about “The Goldman Resignation.” Greg Smith’s stunningly public resignation through a New York Times op-ed certainly was one for the record books. Indeed, Smith was probably still bubble-wrapping...
Articles & Perspectives
April 11, 2012
Approaching Attorney Whistleblowing Post Dodd-Frank
Jordan A. Thomas co-authored an article for Law360, discussing the ability of in-house counsel to report securities violations following Dodd-Frank. Co-authors Jordan A. Thomas and Professor Bruce Green of Fordham Law School address the complicated question of how an in-house counsel can blow the whistle. The SEC’s whistleblower program provides incentives and protections for informants,...
Articles & Perspectives
March 31, 2012
Combating Misconduct
The American Lawyer Supplement: Compliance
Jordan A. Thomas wrote an article for the Spring 2012 issue of The American Lawyer Supplement: Compliance, discussing how corporation can create a strong ethical culture and get away from the inadequacies of traditional compliance programs. In this article, Jordan A. Thomas discusses the necessary components in creating and sustaining a strong ethical corporate culture....
Articles & Perspectives
March 21, 2012
Challenges & Opportunities for the Asset Management Industry Following Dodd-Frank
Labaton Sucharow
Last evening, I had the pleasure of participating in a panel discussion at the historic New York Stock Exchange. The discussion was part of a speaker series hosted by TAAAPS—The Association for Alternative Asset Professionals—with all proceeds being donated to charity. I was joined on the panel by Joseph Mecane, Executive Vice President at NYSE...
Articles & Perspectives
February 20, 2012
Why Recent Reforms Are Good For Business
Labaton Sucharow
News 12 Connecticut sat down with Jordan Thomas early this year to discuss the SEC Whistleblower Program recently enacted under Dodd-Frank. The reforms carry heightened interest in regions that are home to large numbers of major corporate and financial services entities. Connecticut, specifically, has a high concentration of hedge funds, which Thomas explained face heightened...
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
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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