LANDMARK LAWSUIT FILED AGAINST SEC TO PROTECT ALL WHISTLEBLOWERS

Reports & Surveys

How many whistleblower submissions does the SEC receive each year? What percentage of financial services professionals would engage in insider trading if they could get away with it? Is retaliation on the rise in the American workplace? To educate our clients, the media, academics and the public at large, over numerous years, we have commissioned, authored, and gathered fascinating data. Read on!

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SEC Office of the Whistleblower FY 2021 Annual Report

It was another year of exponential growth for the SEC’s whistleblower program. In November, the agency’s Office of the Whistleblower released its annual report for FY 2021, with the headline reveal that more whistleblower awards were made in that one year than in all prior years combined. Specifically, the agency reported that 108 whistleblowers received...

Reports & Surveys

2020 Annual Report to Congress of the Dodd-Frank Whistleblower Program

The SEC’s FY 2020 OWB Annual Report (sec.gov) marks 10 years since inception of the Whistleblower Program, and the reported achievements highlight its exponential growth. In FY 2020, the Office of the Whistleblower received the most tips, processed the most award claims, had its largest aggregate total of money awarded to whistleblowers, and had the...

Reports & Surveys

2020 SEC Division of Enforcement Annual Report

Reports & Surveys

Surveys & Resources

Survey: Professional Ethics Weak on Wall Street WNYC Radio Jordan A. Thomas discusses the findings of a new survey which he says demonstrates that mistrust of the finance industry goes well beyond Main Street. [Jordan Thomas][Prior Firm][‘s] Surveys Wall Street: A Perfect Storm Looming In our second annual survey of the U.S. financial services industry,...

Reports & Surveys

Annual Report to Congress of the Dodd-Frank Whistleblower Program

Annual Report to Congress of the Dodd-Frank Whistleblower Program The SEC has released its 2019 Annual Report to Congress on the Dodd-Frank Whistleblower Program. Since the program’s inception, tips received through the SEC Whistleblower Program have contributed to successful enforcement actions that enabled the Commission to recover more than $2 billion in monetary sanctions, almost...

Reports & Surveys

2019 SEC Division of Enforcement Annual Report

Reports & Surveys

2017 Annual Report of the Dodd-Frank Whistleblower Program

Click below to read the U.S. Securities and Exchange Commission’s 2017 full report to Congress.

Reports & Surveys

Knowledge is Power: The Securities Law Handbook

Reports & Surveys

Reporting Without Regrets: The SEC Whistleblower Program Handbook

Reports & Surveys

SEC Insider’s Guide: A Guide to the SEC’s Investigative and Enforcement Process

Reports & Surveys

2016 Annual Report on the Dodd-Frank Whistleblower Program

Reports & Surveys

The Street, The Bull and The Crisis: A Survey of the US & UK Financial Services Industry

Reports & Surveys

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Featured

November 20, 2015

5 Tips for Potential Whistleblowers

The New York Times

In an article in The New York Times, Jordan Thomas set out five tips prospective whistleblowers must keep top of mind while weighing the decision to report wrongdoing. Perhaps most important is that individuals must pay close attention to what information they report, to whom and when. Jordan also suggests “you don’t have to be...

Articles & Perspectives

Annual Report to Congress of the Dodd-Frank Whistleblower Program

Annual Report to Congress of the Dodd-Frank Whistleblower Program The SEC has released its 2019 Annual Report to Congress on the Dodd-Frank Whistleblower Program. Since the program’s inception, tips received through the SEC Whistleblower Program have contributed to successful enforcement actions that enabled the Commission to recover more than $2 billion in monetary sanctions, almost...

Reports & Surveys

Reporting Without Regrets: The SEC Whistleblower Program Handbook

It was another year of exponential growth for the SEC’s whistleblower program. In November, the agency’s Office of the Whistleblower released its annual report for FY 2021, with the headline reveal that more whistleblower awards were made in that one...

Reports & Surveys

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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