White Paper

24 Pages
  • 24 Pages

Tips From SEC Whistleblower Attorneys to Maximize an SEC Whistleblower Award

 

What is the SEC Whistleblower Program?

The SEC Whistleblower Office, in its short history, has successfully exposed violations of federal securities law and appropriately rewarded whistleblowers who provided information about those violations. Since 2011, the SEC Whistleblower Office has received over 18,000 tips, some of which led to enforcement actions resulting in a total of over $584 million in sanctions (including more than $346 million in disgorgement and interest). Furthermore, the whistleblower office has issued well over $100 million in awards to whistleblowers for information and assistance. In 2016 alone, the SEC awarded more than $57 million to whistleblowers. Notably, many of the largest SEC whistleblower awards have been issued in the past year. This white paper reviews what employment protections are available for SEC whistleblowers, what violations qualify for an award, and who is an eligible whistleblower.

Faculty

Matthew Stock

Zuckerman Law

Jason Zuckerman

Zuckerman Law

Agenda

Faculty

Matthew Stock

Zuckerman Law

Matthew Stock is an associate at Zuckerman Law, where his practice focuses on representing whistleblowers in whistleblower rewards and whistleblower retaliation cases. Mr. Stock has audited a broad range of industries, both domestically and internationally, including large public companies and financial institutions. He uses his auditing experience to help IRS, CFTC and SEC whistleblowers investigate and disclose complex financial frauds to the government.

Jason Zuckerman

Zuckerman Law

Jason Zuckerman litigates whistleblower retaliation and rewards, wrongful discharge, and other employment-related claims, and authors the Whistleblower Protection Law Blog. His broad experience includes serving as Senior Legal Advisor to the Special Counsel at the U.S. Office of Special Counsel, the federal agency charged with protecting whistleblowers in the federal government. In 2012, the Secretary of Labor appointed Zuckerman to serve on the Whistleblower Protection Advisory Committee, which makes recommendations to the Secretary of Labor to improve OSHA’s administration of federal whistleblower protections.

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