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LANDMARK LAWSUIT FILED AGAINST SEC TO PROTECT ALL WHISTLEBLOWERS
About Us
Our Team Practice Manifesto Our Approach Awards & Accolades Landmark SEC Lawsuit
SEC Whistleblower Program
Program Fundamentals SEC Tips Process Facts & Figures SEC Whistleblower Awards Common Securities Violations International Whistleblowers SEC Whistleblower Resources Eligibility Calculator
Clients & Results
Our Whistleblower Cases Our Clients SEC Prosecutions Whistleblower Advocacy
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Securities Law Primer Eligibility Calculator SEC Insiders Guide SEC Whistleblower Handbook FAQ

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Exchange Traded Funds (ETF’s)

“This Investor Bulletin discusses only ETFs that are registered as open-end investment companies or unit investment trusts under the Investment Company Act of 1940 (the “1940 Act”). It does not address other types of exchange-traded products that are not registered under the 1940 Act, such as exchange traded commodity funds or exchange-traded notes.”

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March 19, 2018
Whistleblowers Represented by Jordan Thomas Earn Largest SEC Whistleblower Awards in History
New York, NY (March 19, 2018) – The Securities and Exchange Commission today announced that it will award a group of whistleblowers more than $83 million, the largest awards announced since the SEC Whistleblower Program was established seven years ago. Represented by Jordan Thomas, the whistleblowers’ tips led to a landmark enforcement action that resulted in Merrill...
In The News
March 20, 2018
Once an SEC Regulator, Now Thriving as a Lawyer for Whistleblowers
The New York Times
In a profile piece published in The New York Times, Whistleblower Practice Chair Jordan A. Thomas talks about his decision to travel “the road not taken,” and how it has benefited those in difficult professional positions. After dealing with a traumatic upbringing and seeking emancipation from his parents at the age of 15, Thomas went...
In The News
July 29, 2019
2019 Half-Time Report
The SEC Whistleblower Program: Where Wall Street Answers to Main Street
We are pleased to bring our clients and friends a midyear report to highlight key awards, trends and issues of import in the SEC whistleblower arena. It’s an exciting time for whistleblowers, and, by extension, investors at large. Since the program’s roll-out, the Commission has received nearly 30,000 tips from 119 countries. Most remarkable, as...
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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