SEC
Whistleblower
Advocates

Our Clients

While we act on behalf of the world’s largest institutional investors in our securities litigation practice, our SEC whistleblower clients are diverse, coming from all walks of life, a wide range of industries and every corner of the globe.

Private Securities Litigation Clients

On behalf of prominent institutional investors around the world, our firm has taken on a veritable who’s who of Corporate America, recovering billions of dollars and compelling sweeping corporate governance reforms to ensure that the financial markets operate with transparency, fairness and accountability.

Top 3

One of the top 3 firms most frequently appointed by courts as lead counsel in the top 100 securities class action cases of all time

$12 Billion

More than $12 billion recovered on behalf of clients

200+ Clients

Represent over 200 clients with combined assets under management > $2 trillion

25% Higher

Our settlements average 25% higher than the industry average

20%

Our dismissal rate is more than 20% below the industry average

Top 25

We represent 19 of the top 25 public/labor pension funds holding assets of teachers, law enforcement, firefighters, municipal employees and union workers

SEC Whistleblower Clients

Our clients tend to be senior executives that have a lot to lose or other knowledgeable individuals who are able to substantiate significant possible securities violations. While the majority of our clients elect to remain anonymous, we can share certain data points to provide greater insight into our practice.

Our clients’ tips resulted in landmark SEC enforcement actions against JP Morgan and Merrill Lynch — combined settlements of more than $720 million.

$1 Billion

Our clients' tips have led to more than $1 billion in monetary sanctions levied by the SEC, approximately 25% of the Commission's total annual sanctions.

12%

12% of our clients live outside the US.

17.5% of Awards

While we have represented 9% of successful whistleblowers, our clients’ bounties amount to more than 17.5% of the total awarded by the SEC (as of April 2017).

62% Financial Sector

While our clients have reported on public companies, banks, asset managers, broker-dealers, hedge funds, rating agencies and accounting firms, among others, 62% of them were in the financial services sector.

28%

28% of our clients are “outsiders” – i.e. not employed by defendant company.

A Client-First Approach

Our exclusive focus on SEC whistleblowers renders us uniquely attuned to the myriad of issues our clients face, as they tackle one of the most difficult decisions in their lives. This sensitivity shapes every area of our legal practice.

Intake Process

Our process is thoughtful, informed by both quantitative data and in-the-trenches experience. It is not uncommon for us to spend months confirming the existence of a securities violation or strengthening the evidentiary record for a client. In evaluating cases, we view potential clients as individuals, appreciate their goals and address their fears. We systematically push, probe and challenge clients to find the strengths and weaknesses in their cases. On our end, we call upon sophisticated and proprietary data analytics tools to help clients make informed decisions about whether, when and how to blow the whistle. We are always open, honest and direct. Due to the high-stakes involved, SEC whistleblowers deserve nothing less.

Case Selection

We are a low-volume and ultra-selective whistleblower representation practice. Our past successes allow us to be patient. Historically, on average, we have accepted less than 12 cases per year. Because we care deeply about investor protection, apart from the potential for substantial monetary sanctions and awards, we consider the significance of the violations and the nature of the harm. In fact, each year, we accept one or two cases, in which there is egregious wrongdoing—even though the probability of success or potential monetary sanctions is relatively low.

Case Staffing

We don’t bait and switch. Inexperienced and junior lawyers will never learn on our clients’ cases. Our partners carry their own bags and only partners work on our whistleblower matters. We are proud to offer clients a dream team of legal experts with nearly 100 years’ combined experience in federal law enforcement—overseeing hundreds of successful SEC enforcement actions and related DOJ prosecutions. With stakes this high, whistleblowers should rely upon time-tested, real-world experience building, litigating and winning complex securities cases.

Team Dynamic

Where most law firms rely on lean staffing models to drive profits, we operate our practice as a large and collaborative team. All four of our partners meet, consult with and provide their insights, instincts and experience to each of our SEC whistleblower clients. These partners are supported by a world-class team of in-house investigators, financial analysts and forensic accountants. While each client engagement will have a lead partner assigned to it, effectively, our clients benefit from having four experienced partners working on their case, for the price of one.

Concierge Service

Some whistleblower practices file the necessary paperwork and disappear. Not us. We are in it for the long haul, available to our clients 24/7, providing a comprehensive and complimentary suite of services to address the full panoply of a whistleblower client’s needs. Sometimes our clients need help finding new jobs or new homes, other times they need financial planning assistance to manage substantial SEC whistleblower awards. We have met with clients in a church, at a neighborhood playground and on vacation abroad. Our job is to guide clients through tricky terrain with compassion and responsiveness. And that doesn’t happen on our terms, it happens on our clients’.

It's Personal

We are selective. Our past success allows us to be patient. Our work is deeply personal. We seek clients who are willing to roll up their sleeves and work hard to ensure the success of their cases and we studiously avoid clients who don’t play well with others. Ultimately, we trust our instincts. When a case is truly special, we feel it. It changes and excites us. Working with courageous SEC whistleblowers is the most rewarding thing that we can imagine doing with our lives.

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