SEC Whistleblower Program: Tips from SEC Whistleblower Attorneys to Maximize an SEC Whistleblower Award
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About this ebook
Zuckerman Law, one of the nation’s leading law firms representing whistleblowers in whistleblower rewards and whistleblower retaliation claims, has created an eBook about the SEC’s Whistleblower Program. The SEC Whistleblower Program: Tips from SEC Whistleblower Attorneys to Maximize an SEC Whistleblower Award, offers practical tips for whistleblowers and insights that the firm has gained in representing whistleblowers before the SEC.
The rules implementing the SEC Whistleblower Program are complex and there are many potential pitfalls for whistleblowers. Zuckerman Law is publishing the eBook to enable whistleblowers to quickly grasp the key facets of the SEC Whistleblower Program and highlight key steps that whistleblowers should take to increase the likelihood of recovering and maximizing an SEC whistleblower award.
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SEC Whistleblower Program - Zuckerman Law
SEC WHISTLEBLOWER PROGRAM
Zuckerman Law
Copyright ©2017 by Zuckerman Law
Smashwords Edition
All rights reserved. No part of this book may be used or reproduced in any manner whatsoever without written permission, except in the case of brief quotations embodied in critical articles or reviews. Please do not participate in or encourage the piracy of copyrighted materials in violation of the author’s rights. Purchase only authorized editions.
CONTENTS
Overview of the SEC Whistleblower Program
What is the SEC Whistleblower Program?
Can I submit an anonymous tip to the SEC Whistleblower Office?
What employment protections are available for SEC whistleblowers?
What violations qualify for an award?
What are the largest SEC whistleblower awards?
Whistleblowers Eligible for an Award
Who is an eligible SEC whistleblower?
Can I submit a tip if I was involved in the fraud or misconduct?
Can I submit a tip if I agreed to a confidentiality provision in an employment/severance agreement?
Can compliance personnel, auditors, officers, or directors qualify for an SEC whistleblower award?
Reporting to the SEC and Maximizing Award Percentage
When is the best time to report the fraud or misconduct to the SEC?
Do I have to report the violation to my company before reporting it to the SEC?
Can I submit an SEC whistleblower claim if the SEC already has an open investigation into the matter?
How do I submit a tip to the SEC?
Are there any tips for submitting a TCR to the SEC?
What type of evidence should I provide to the SEC?
What factors does the SEC consider when determining the amount of an award?
Why should I choose the Zuckerman Law to represent me in my SEC whistleblower claim?
After Reporting to the SEC
What happens after I submit a tip to the SEC?
How long does it take to receive an SEC whistleblower award?
OVERVIEW OF THE SEC WHISTLEBLOWER PROGRAM
What is the SEC Whistleblower Program?
The Dodd-Frank Act (Dodd-Frank
) was signed into federal law on July 21, 2010, in response to the financial crisis of 2008. That recession, widely considered the worst financial crisis since the Great Depression,
struck after the U.S. housing market crashed and the entire financial industry nearly collapsed. The stock market lost about US$25 trillion in value, and 23 million people lost their jobs. The