Anonymous Reporting

In many cases, the best protection against retaliation is to report possible securities violations anonymously.

Whether whistleblowers report possible misconduct internally or externally, they are courageous truthtellers. For many, the difficult personal and professional decision to come forward and report wrongdoing requires a reconciliation of conflicting values. On the one hand, our society celebrates team players and, on the other, it has contempt for mindless sheep that go along to get along. At times, our society champions the individual who does what is right. Too often, however, society unfairly characterizes the individual who reports problems as disloyal.

In the past, the fear of retaliation or social stigma has deterred some potential whistleblowers from reporting possible securities violations and, as a result, countless investors have been seriously injured. Such fear, whether real or imagined, undermined corporate compliance and integrity programs and the ability of law enforcement authorities to detect and prosecute securities violations. To correct this serious problem and encourage everyone to take a stand against wrongdoing, the SEC Whistleblower Program permits whistleblowers to report possible securities violations anonymously.

To anonymously report possible violations of the securities laws to the SEC, a whistleblower is required to be represented by an attorney and must provide his or her counsel with a copy of the submission signed under the penalty of perjury. The attorney will verify the identity of the whistleblower before any information is submitted to the SEC; serve as an intermediary between the SEC and whistleblower during any investigation and related enforcement action; and advocate for the highest potential monetary award if the submission results in a successful SEC enforcement action. Prior to receiving any monetary award, for eligibility, tax and other reasons, whistleblowers must disclose their identity to the SEC. 

To learn more about anonymous reporting or to request a case evaluation, potential whistleblowers may contact our Whistleblower Representation Team in any number of ways – by telephone, email, or electronic submission through this website. All initial consultations and case evaluations are free, confidential and protected by the attorney-client privilege. During any initial consultation, although it is strongly encouraged, individuals are not required to provide personal identifying information or the names of possible securities violators. For international whistleblowers, language translation services are available upon request.

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Website Editor &
SEC Whistleblower Advocate

Jordan A. Thomas jthomas@labaton.com

212-907-0836

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