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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August 14, 2012

Presentation: The Advent of the SEC Whistleblower Program

Part 1 of a 6-part series entitled “Whistleblowing in the Corporate World Series” This is a six-part presentation series hosted by West Legal Edcenter, part of Thomson Reuters. Presenter: Jordan A. Thomas In this presentation, Jordan A. Thomas, a former Assistant Director in the Enforcement Division at the SEC, and a principal architect of its...

Webinars, Videos & Podcasts

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

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.”

Could You Blow The Whistle?

News 12 Connecticut

Conducted by Populus in June, Wall Street, Fleet Street and Main Street: Corporate Integrity at a Crossroads reveals startling data on corporate ethics, the regulatory landscape, and individuals’ willingness to blow the whistle on wrongdoing

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

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

Whistleblowers “Essential” to Protect Client Funds, Says Former SEC Chief

An investigation into alleged misappropriation of customer funds at US-based futures commission merchant Peregrine Financial Group (PFG) serves to highlight the need for stronger regulatory oversight and greater whistleblower protection, according to Jordan Thomas, partner and chair of the whistleblower representation practice at [prior firm]. “Regulators are only as good as the information they have...

Two Years After Dodd-Frank, Has Wall Street Changed?

U.S. News & World Report

“The financial services industry, its moral compass is broken,” says Jordan Thomas, partner and chair of [prior firm][‘s] whistleblower representation practice. “Until these organizations re-establish a culture of integrity and stewardship, investors are at great risk.”

Study Reinforces Warnings of Toxic Banking Culture

“It will take a significant commitment to change that, because it’s like an arms race – you can’t have only one company changing.”

How Effective Are The FSA/SFO And SEC At Handling Misconduct?

HedgeFund Insight

“In this era of corporate scandals, we must refocus our energies on corporate ethics and encourage individuals to report wrongdoing—internally or externally.”

CFA and Sacred Heart Take on Ethics Lapse on Wall Street

“I’m afraid it’s going to take some time,” Thomas said, regarding a change in the ethical culture on Wall Street, even though he said his phone has been ringing off the hook from would-be whistleblowers.

One in Four Finance Professionals Would Do This to Get an Edge (Hint: It’s Not a Good Thing)

The financial system isn’t exactly renowned for its sparkling ethical record, and a new study released by [Jordan Thomas][prior firm][‘s] yesterday certainly isn’t going to help the cause. The study surveyed 500 U.S. and U.K. fund managers, bankers, analysts and asset managers and found that nearly a quarter of respondents felt that “financial services professionals...

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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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