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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Hedge Fund Workers’ Shameful Secret: Rulebreaking

“The high percentage of hedge fund professionals that are aware of the SEC Whistleblower Program and are willing to report wrongdoing is extremely encouraging,” Jordan Thomas, chairman of the whistleblower representation practice at [prior firm], said in the statement. “Without individuals willing to report possible securities violations, internally or externally, responsible organizations and law enforcement...

More Than a Third of Hedge Fund Professionals Feel Pressured to Break Rules in Pursuit of Alpha

“The high percentage of hedge fund professionals that are aware of the SEC Whistleblower Program and are willing to report wrongdoing is extremely encouraging,” says Jordan Thomas, chair of the Whistleblower Representation Practice at [prior firm]. “Without individuals willing to report possible securities violations, internally or externally, responsible organisations and law enforcement authorities cannot police...

Hanky Panky By Hedge Funds Is No Secret, Study Says

Institutional Investor's Alpha

“The question about compensation pressures shows a fundamental disconnect because what people say they stand for and how the internal policies actually work,” says Jordan Thomas, a partner at [prior firm] in New York, which sponsored the survey, along with the HFA and Reuters Hedgeworld. Respondents came from member and subscriber databases supplied by the...

Hedge Fund Industry Survey

NEW YORK – An independent survey of hedge fund professionals commissioned by [Jordan Thomas][prior firm][‘s], HedgeWorld and the Hedge Fund Association, revealed that nearly half (46 percent) believe that their competitors engage in illegal activity; more than one third (35 percent) have personally felt pressure to break the rules and about one third (30 percent)...

Reports & Surveys

Half of Hedge Funds Think Their Competitors Are Cheating

The Wall Street Journal

The Hedge Fund Association, a trade group representing smaller hedge funds, and the industry publication HedgeWorld sent out emails to their member and subscriber lists asking them to participate in the survey, according to Jordan Thomas, [whose prior firm] commissioned the study along with the two organizations. Research Now, an online data collection firm, supplied...

One in Three Hedge Fund Workers Admits to Knowing About Rule-Breaking, Says US Survey

Jordan Thomas, Chair of the Whistleblower Representation Practice at [prior firm]. “Without individuals willing to report possible securities violations, internally or externally, responsible organizations and law enforcement authorities cannot police the marketplace effectively and efficiently.”

How to Read A Mutual Fund Shareholder Report

“Mutual funds that are registered with the SEC must send reports to their shareholders on a semiannual basis. the semiannual report covers the first six months of the fund’s fiscal year, while the annual report covers the fund’s entire fiscal year. Mutual funds that are registered with the seC prepare their own shareholder reports and...

Insider Transactions and Forms 3, 4 and 5.

“The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate investors about SEC Forms 3, 4, and 5. The federal securities laws require certain individuals (such as officers, directors, and those that hold more than 10% of any class of a company’s securities, together we’ll call, “insiders”) to report...

2013 Annual Report on the Dodd-Frank Whistleblower Program

Reports & Surveys

January 1, 2013

Enhanced Protections for Whistleblowers Under the Dodd-Frank Act

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 22, 2012

Would You Blow the Whistle? Many Say Yes, but Perils Abound

Jordan Thomas, the lead attorney for Whistleblower Representation at [prior firm], used to be the assistant director in the SEC’s Division of Enforcement and worked to get the new SEC Whistleblower Program passed as part of the Dodd-Frank financial reforms.

December 7, 2012

SEC Whistleblower Goes Public with Deutsche Bank Allegations

Corporate Counsel

“When Ben-Artzi first consulted with me, I was shocked by the size and scope of the alleged misconduct,” said Thomas, a former SEC assistant director and chair of the firm’s whistleblower representation practice “This is exactly the type of significant and unreported securities violations that the SEC Whistleblower Program was intended to address. It is...

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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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