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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All About Auto-Trading

“Investment newsletters often market “auto-trading” programs as a way for investors to get instant execution of trades of securities the newsletter recommends. However, auto-trading programs can be highly risky. Our brochure provides some steps you will want to take to check out “auto-trading” before handing over your money.” This publication may be important to whistleblowers...

Investor Bulletin: Target Date Retirement Funds

“The SEC staff and FINRA are issuing this Alert because we believe individual investors may be confused about the performance objectives of leveraged and inverse exchange-traded funds (ETFs).”

Broken Promises: Promissory Note Fraud.

“While promissory notes can be legitimate investments, those that are marketed broadly to individual investors often turn out to be scams.” This publication may be helpful to potential whistleblowers that are dealing with investment firms that deal in bulk offers of promisory notes.

Retaliation: The Cost to Your Company and Its Employees

Reports & Surveys

The Fleecing of Foreign Investors: Avoid Getting Burned by “Hot” U.S. Stocks

“An increasing number of “reload” and “advance fee” scams target non-U.S. investors who lost money buying low-priced, thinly traded over-the-counter stocks and who seek to recover their losses. This brochure describes how some of these scams work, provides tips on how to avoid them, and tells you where to find help.” This publication may be...

The Importance of Ethical Culture: Increasing Trust and Driving Down Risks

Reports & Surveys

Integrity Survey

Reports & Surveys

Guide to Broker-Dealer Registration

“This document provides a comprehensive guide to Broker-Dealer registration, including the laws, rules, and regulations.” This publication may be important to whistleblowers where they suspect their employer may be acting outside the law when dealing with the sale of securities.

Avoiding Internet Investment Scams: Tips for Investors.

“You should be skeptical of investment opportunities you learn about through the Internet. You can avoid online investment scams by getting the facts before you invest. This publication will answer some questions for you; let it assist you when you begin to do your research and investigation.” This publication may be helpful to potential whistleblowers...

“Auto-Surfing”: What You Need to Know

“This publication defines auto-surfing and explains the potential for fraud (“Ponzi” or pyramid scheme) that individuals face when signing on with auto-surfing firms. In addition, it offers some advice for investors to take into account before deciding to become an auto-surfer.”

Worthless Stock: How to Avoid Doubling Your Losses

“Con artists across the globe have stepped up their efforts to rip off investors, especially non-U.S. residents who have lost money in the U.S. securities markets. The SEC wants investors to be extremely skeptical of offers to exchange worthless or poorly performing stocks for blue chips or “hot” performers. Our alert tells you how to...

High Yields and Hot Air

“This brochure alerts you to what you should know before you receive those investment offers that purport to pay sky-high returns for what are at best extremely risky propositions and at worst are pure fraud.” This publication may be helpful to potential whistleblowers that are concerned about potential misstatements regarding high returns.

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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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