Securities Law Primer

When deciding whether to report a possible securities violation, there is no substitute for securities knowledge and experience.

At Labaton Sucharow, our knowledge of the securities laws is deep and has been developed in the trenches of high-stakes securities litigation.  For more than 50 years, we have been consistently recognized as one of the country’s premier securities litigation firms, having successfully brought groundbreaking securities cases, such as AIG and Countrywide. Our Whistleblower Representation Practice leverages this unparalleled securities knowledge, experience and resources and is led by Jordan A. Thomas. As a former Assistant Director and Assistant Chief Litigation Counsel in the Enforcement Division of the SEC, Jordan successfully investigated, litigated and supervised a wide-range of high-profile enforcement matters—Enron, Fannie Mae, Citigroup and UBS among them—which resulted in monetary relief for harmed investors in excess of $35 billion.  

Due to the complexity and rapidly changing nature of the securities laws, potential SEC whistleblowers are strongly encouraged to consult with an attorney or to thoroughly familiarize themselves with the federal securities laws. Before reporting a possible securities violation, internally or externally, sophisticated potential whistleblowers attempt to determine whether a securities violation has occurred, assess the significance of any violation, and evaluate the probability of a successful SEC enforcement action.  Although answering these questions can be challenging, this process is a critical first step to making an informed decision regarding the risks and rewards of being an SEC whistleblower        

Labaton Sucharow’s Securities Law Primer serves as an excellent introduction to the laws that govern the securities industry, common securities violations and available remedies, among other useful information. We also encourage potential whistleblowers and other interested parties to check out our SEC Sanctions Database, where we have publicly released key data relating to significant enforcement actions involving six of the most common securities violations since 2002. 


Resources

For a collection of Testimony, Speeches and Public Statements made by the Chairman, Commissioners and Staff of the SEC, please click here.

Videos, Webinars & Podcasts


Please click here for a selection of videos, webinars and podcasts related to the SEC Whistleblower Program that we find particularly informative.

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Website Editor &
SEC Whistleblower Advocate

Jordan A. Thomas jthomas@labaton.com

212-907-0836

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