LANDMARK LAWSUIT FILED AGAINST SEC TO PROTECT ALL WHISTLEBLOWERS

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Thought leadership isn't something that we periodically do, it's a fundamental part of our organizational DNA. We have always felt it was our duty to speak out against corporate wrongdoing and to speak up for whistleblowers. So when it comes to the SEC Whistleblower Program, we write, speak, tweet, post, moderate and educate more than any other firm in the world.

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The Morning Risk Report: Conditions Ripe for SEC Whistleblowers

The Wall Street Journal

These employees that suspect bad behavior but are wary of reporting it internally are ideal candidates for the SEC’s anonymous whistleblower program. A growing number of those surveyed knew about this whistleblower program (60%, up from 49% in 2012) and the vast majority (89%) said they would be willing to report wrongdoing given the conditions...

Survey: Professional Ethics Weak on Wall Street

Wall Street And Financial Services Industry Still Dangerously Unethical: Survey

International Business Times

Senior . . . partner Jordan Thomas, who helped oversee the survey, told the International Business Times he found some results this year particularly surprising. A similar survey last year of the British financial sector actually produced more encouraging results, indicating better behavior, said Thomas. “Things went from bad to worse in one year,” said...

Would You Cheat the Street?

What are High-Yield Corporate Bonds

“The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate individual investors about high-yield corporate bonds, also called “junk bonds.” While they generally offer a higher yield than investment-grade bonds, high-yield bonds also carry a higher risk of default.”

What are Corporate Bonds

“The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to offer basic information about corporate bonds.”

Employer Scare Tactics May Chill SEC Whistleblower Program

But an issue has emerged that could stanch the flow of tips. Despite an anti-retaliation provision in the Dodd-Frank Act, the law that created the whistleblower office, some plaintiffs attorneys complain that companies are using language in severance, confidentiality and other employment agreements that threatens employees with termination if they communicate directly with the SEC....

Private Oil and Gas Offerings

“The SEC’s Office of Investor Education and Advocacy is issuing this alert to educate individual investors about certain risks and possible fraudulent activity involving private offerings of securities for oil and gas ventures.” This bulletin is of note to potential whistlblowers because it highlights some of the potential wrongdoings that could be going on during...

Hazy Future for Thriving S.E.C. Whistle-Blower Effort

The New York Times

Calls from whistle-blowers came pouring in. In a recent report to Congress, Mr. McKessy stated that his office in the last fiscal year received 3,001 tips. “I expect you’ll see more cases in the coming year,” said Jordan A. Thomas, a former S.E.C. official who helped create the office and is now handling whistle-blower complaints...

Hedge Funds Are Losing Investors’ Trust

Even in the most regulated environments, rules and restrictions are not a panacea. Trust matters, and that definitely applies to asset managers of all kinds, including hedge funds. When managers lose trust, they start losing mandates. Within our financial markets, there are all kinds of trust models – between employers and employees, between clients and...

Articles & Perspectives

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

Hedge Fund Snitches Seek SEC Riches

The bounties, as well as the SEC’s promise to protect whistleblowers from retaliation, could be attractive enough to hedge fund employees to make them overcome any skittishness about going to the agency, according to [law firm] partner Jordan Thomas, who chairs the firm’s whistleblower practice and previously served in a leadership role for the SEC...

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Featured

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...

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...

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

NPR Features Jordan Thomas on Planet Money Podcast, “The Whistleblower Whisperer”

NPR Planet Money

Leading SEC whistleblower attorney Jordan Thomas was featured on NPR’s Planet Money podcast. In the episode “The Whistleblower Whisperer,” Jordan tells Planet Money co-host Jacob Goldstein about his work representing whistleblowers who provided evidence to the SEC that led to landmark enforcement actions against Wall Street’s biggest banks, including Merrill Lynch and JP Morgan. Jordan also...

October 5, 2018

Jordan A. Thomas Named Whistleblower “Lawyer of the Year”

New York, NY – October 5, 2018 – [Jordan Thomas][prior firm][‘s] is pleased to announce that its leading SEC whistleblower attorney Jordan A. Thomas, a principal architect of the SEC Whistleblower Program who established the nation’s first law practice exclusively focused on SEC whistleblowers, has been named a 2018 “Lawyer of the Year” by the Taxpayers...

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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