Learn how to ensure your clients or company remain compliant with the SEC's rules and recommendations.
Nearly thirteen years ago, Congress gave the Securities and Exchange Commission legal authority to pay awards to whistleblowers who report federal securities law violations. Since then, the SEC has secured more than $6.3 billion in enforcement matters involving whistleblower information, paid out more than $1.3 billion in whistleblower awards (not including an eye-popping $279 million award the SEC made to a whistleblower in May 2023), and aggressively acted against employers accused of retaliation. These and other developments in the SEC's Whistleblower Program raise serious challenges for public companies and other entities in financial-services industries subject to federal securities laws. This presentation will provide a detailed explanation of how the SEC's Whistleblower Program works, including what the SEC looks for in a good whistleblower tip, a start-to-finish description of the SEC's whistleblower-claim process, and the types of misconduct whistleblowers can report on. The topic also will evaluate developments likely to shape the program's future and detail best practices for internal compliance programs.
Agenda
Faculty
Sarah "Poppy" Alexander
Constantine Cannon LLP
- Partner at Constantine Cannon
- Represents whistleblowers and government entities in qui tam lawsuits, as well as under the various agency whistleblower programs
- Practice focuses on issues of international corruption and financial misconduct, with a specialty in the Foreign Corrupt Practices Act and money laundering cases
- Writes and speaks regularly about emerging topics in financial fraud, including sanctions violations, SPACs, and cryptocurrency
- Represented a whistleblower who returned over $360 million to the U.S. Treasury from an antitrust conspiracy to overcharge the U.S. military for oil and gas contracts, represented the first-ever successful whistleblower under the Department of Transportation’s whistleblower program, and successfully litigated multiple False Claims Act cases against healthcare companies overcharging Medicare for the services provided
- Graduated from Harvard Law School, where she was the co-editor-in-chief of the Harvard Civil Rights-Civil Liberties Law Review and clerked for the Sixth Circuit
Ari Yampolsky
Constantine Cannon LLP
- Partner at Constantine Cannon LLP
- Represents whistleblowers under every major whistleblower-reward law
- Has helped SEC whistleblowers secure millions of dollars in awards for exposing financial fraud
- Along with his colleagues, successfully represented a whistleblower who received the first-ever award from the Department of Transportation ($24 million) after the tipster revealed safety defects affecting engines in millions of Hyundai vehicles and was a key member of a team that secured a $138 million settlement representing a whistleblower and dozens of government entities in ground-breaking state False Claims Act lawsuits against four wireless carriers
- Graduated magna cum laude from UC Irvine School of Law and clerked on the U.S. Court of Appeals for the Sixth Circuit and the U.S. District Court for the Middle District of Tennessee
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