SEC
Whistleblower
Advocates

Fundamentals

Anonymous Reporting

Sometimes the best protection against retaliation is to report possible securities violations anonymously.

Historically, whistleblowers have feared retaliation.

To address this fear and, importantly, to arm law enforcement and regulatory authorities with actionable intelligence, the SEC Whistleblower Program permits whistleblowers to report anonymously. To do so, a whistleblower must be represented by an attorney and must provide the attorney a copy of the whistleblower 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, in the case of a successful enforcement action, advocate for the highest potential monetary award. Prior to receiving any monetary award, for eligibility, tax and other reasons, whistleblowers must disclose their identity to the SEC.

Once an SEC whistleblower provides this identifying information to the SEC, the Commission is required to make every effort to protect this sensitive information.

Approximately 50% of our clients elect to file their submissions anonymously

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