SEC Sanctions Database Overview

We leverage substantial securities enforcement experience and sophisticated assessment tools to provide strategic counsel to SEC whistleblowers.

Internationally recognized as one of the world's premier securities litigation firms, Labaton Sucharow was the first law firm in the country to establish a practice exclusively focused on protecting and advocating for SEC whistleblowers. Our clients benefit from an exclusive securities focus and market leading expertise, experience, and resources.  Our current case load is impressive and our track record of holding powerful companies accountable for securities violations speaks for itself.

Complementing our professionals’ experience in the halls of federal law enforcement and in the trenches of high-profile and high-stakes securities litigation, our success is driven by a highly disciplined qualitative and quantitative approach to client advocacy. We have pioneered a sophisticated approach to case analysis and development that leverages proprietary securities research and our world-class team of in-house investigators, financial analysts, and forensic accountants.

This SEC Sanctions Database is another tool in our arsenal.  

To better serve our clients, we have conducted a systematic and detailed analysis of SEC enforcement actions and have made some of this important information available to the public in a first-of-its-kind searchable database with an interactive mapping function. This powerful tool provides valuable information about successful SEC enforcement actions involving six of the most common violations – Offering Fraud, Trading & Pricing, Foreign Corrupt Practices Act, Municipal Securities, Financial Fraud and Market Manipulation – that resulted in monetary sanctions in excess of $1 million, the minimum eligibility threshold for the SEC Whistleblower Program. The data includes enforcement actions from the enactment of the Sarbanes-Oxley Act in 2002 through September 30, 2013 and can be searched by defendant, region, amount of monetary sanction and type of violation. For definitions and other helpful information about common securities violations, you may wish to read our Securities Law Primer.

Blowing the whistle, internally or externally, requires great courage. Potential whistleblowers deserve knowledgeable and objective legal counsel about whether, how and when to report possible securities violations so that they can make this important decision with confidence.