SEC
Whistleblower
Advocates

Manifesto

When courageous individuals speak out against wrongdoing, we stand up, we step closer and use every tool in our arsenal to make their voices heard.

Our clients

Some people look the other way. Not our clients. They are fearless, refusing to be silenced or marginalized. They are the change agents, who see something and say something.

Because the truth is powerful and transformative. Our clients’ courage safeguards jobs and investors, ensures fair markets and facilitates capital formation. While some may discredit them and others may abandon them, we proudly protect and fight for those others call rebels, troublemakers and outsiders.

Our mission

We seek to level the playing field, so SEC whistleblowers can successfully report securities violations—without personal or professional regrets.

We are guided by Eight Core Principles:

1

Size matters, but success matters more.

We are a low-volume, ultra-selective whistleblower practice. Our past successes allow us to be patient; typically, we accept less than 12 cases each year. This selectivity allows us to focus on significant, precedent-setting matters and has consistently led to market-leading results.

Market Leading Results SEC Whistleblower Program Handbook

2

High-stakes and high-profile cases are better handled by subject matter experts.

In contrast to other whistleblower practices, we don’t attempt to do everything. We were the first, and remain the only, law firm to establish a national whistleblower practice focused exclusively on representing SEC whistleblowers.

Meet Our Team Our Unique Approach

3

The securities laws are complex and take years to master.

Unlike other whistleblower practices that have little or no securities experience, our firm has been successfully prosecuting private securities cases for more than five decades. And, the four partners in the whistleblower representation practice collectively have 65 years of successfully prosecuting high-profile SEC enforcement actions and 25 years of related high-stakes DOJ prosecution experience.

Unparalleled Securities Experience Securities Law Primer

4

SEC whistleblowers are best represented by leaders from the securities enforcement community.

At our firm, only former senior federal securities prosecutors work on whistleblower submissions. Our practice leader was a principal architect of the SEC Whistleblower Program and, in addition to investigating, litigating and supervising some of the most significant enforcement actions in history, our partners have longstanding relationships with the leadership of every SEC office and specialty enforcement unit in the country.

Unique SEC Whistleblower Expertise SEC Insider’s Guide

5

Law firm staffing models should serve whistleblower clients, not profits.

At Labaton Sucharow, unlike other whistleblower practices, we have a 'no amateurs rule.' Only partners, all of whom served as senior former federal law enforcement attorneys with decades of securities prosecution experience, work on our clients' SEC whistleblower cases. With stakes this high, whistleblowers should rely upon time-tested, real-world experience building, litigating and winning complex securities cases.Together, our partners have been responsible for hundreds of successful SEC enforcement actions and related DOJ prosecutions.

Meet Our Team Unparalleled Enforcement Experience

6

The decision to blow the whistle is one of the most important choices an SEC whistleblower will ever make and should be informed by sophisticated data analytics.

Complementing our unique SEC experience, our success is driven by a highly disciplined qualitative and quantitative analytical approach to client advocacy. To better serve our clients, we have pioneered a sophisticated case analysis and development methodology that leverages proprietary securities research and databases.

Eligibility Calculator SEC Sanctions Database SEC Awards Analysis

7

The probability of a successful SEC enforcement action and a large whistleblower award is enhanced when tips are supported by expert analysis and assistance.

Unlike other whistleblower practices, we have a world-class in-house team of investigators, financial analysts and forensic accountants with federal and state law enforcement experience, who use cutting-edge technology to help the SEC Staff build successful whistleblower cases. Located in the heart of Wall Street, we also have longstanding consulting relationships with experts in virtually every sector of the financial services industry. These expert services are provided at no cost to our whistleblower clients.

A World-Class In-House Team Orthofix Case Study

8

Being a successful SEC whistleblower can be tricky, our clients deserve concierge legal service.

Some whistleblower practices file the necessary paperwork and disappear. We are in it for the long haul, available to our clients 24/7. We provide comprehensive advice and VIP service to our clients on everything from how and when to blow the whistle, to what to do when the Commission grants a substantial whistleblower award.

A Concierge Whistleblower Practice A Culture of Service

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