Practice Areas

We specialize in representing whistleblowers who have information about securities fraud, Ponzi schemes, unlicensed sales of securities, commodities fraud, forex fraud, or other illegal activity in the securities and commodities industries. We help whistleblowers navigate the complex process of reporting their information to the SEC and provide ongoing representation to protect our clients’ interests.  We have one of the largest SEC whistleblower practices in the country, representing company insiders, researchers, investment funds and market activists.  We help our clients prepare and file whistleblower tips with the Securities and Exchange Commission (SEC), the Internal Revenue Service (IRS) and the Commodities Futures Trading Commission (CFTC), as well as other agencies with whistleblower programs, including the Department of Justice and the Financial Crimes Enforcement Network (FINCEN) in the United States Department of the Treasury.

The main role of an experienced whistleblower lawyer is to help our clients organize their information and file reports with appropriate federal agencies in a way that is both legally and procedurally sound. This may involve gathering and presenting supporting evidence, preparing gathering supporting information, and submitting a formal complaint or tip.  We then assist you in complying with the applicable deadlines and procedural requirements to ensure that your tip qualifies for the highest award percentage under the circumstances. We have contacts with key personnel at the federal agencies and can work with them to ensure that your information is investigated and – if appropriate – enforcement action is taken.

In addition to helping clients report their information to the SEC, SEC whistleblower lawyers also provide legal representation and advice to protect their clients’ rights and interests and, in some cases, to protect them from retaliation. This may involve negotiating with the SEC or other parties on behalf of the client, representing the client in administrative proceedings or court cases, and providing guidance on how to respond to any legal challenges that may arise. SEC whistleblower lawyers also play a key role in helping their clients apply for financial rewards or other incentives that may be available. For instance, the SEC has a program that provides financial rewards to whistleblowers who provide information that leads to successful enforcement actions where the agency collects over $1 million.  We help our clients understand their eligibility for these rewards and ensure that they receive any payments that they are entitled to.