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Reports & Surveys

How many whistleblower submissions does the SEC receive each year? What percentage of financial services professionals would engage in insider trading if they could get away with it? Is retaliation on the rise in the American workplace? To educate our clients, the media, academics and the public at large, over numerous years, we have commissioned, authored, and gathered fascinating data. Read on!

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Surveys & Resources
Survey: Professional Ethics Weak on Wall Street WNYC Radio Jordan A. Thomas discusses the findings of a new survey which he says demonstrates that mistrust of the finance industry goes well beyond Main Street. Labaton Sucharow Surveys Wall Street: A Perfect Storm Looming In our second annual survey of the U.S. financial services industry, we...
Reports & Surveys
Annual Report to Congress of the Dodd-Frank Whistleblower Program
Annual Report to Congress of the Dodd-Frank Whistleblower Program The SEC has released its 2019 Annual Report to Congress on the Dodd-Frank Whistleblower Program. Since the program’s inception, tips received through the SEC Whistleblower Program have contributed to successful enforcement actions that enabled the Commission to recover more than $2 billion in monetary sanctions, almost...
Reports & Surveys
2019 SEC Division of Enforcement Annual Report
Reports & Surveys
2017 Annual Report of the Dodd-Frank Whistleblower Program
Click below to read the U.S. Securities and Exchange Commission’s 2017 full report to Congress.
Reports & Surveys
Knowledge is Power: The Securities Law Handbook
Reports & Surveys
Reporting Without Regrets: The SEC Whistleblower Program Handbook
Reports & Surveys
SEC Insider’s Guide: A Guide to the SEC’s Investigative and Enforcement Process
Reports & Surveys
2016 Annual Report on the Dodd-Frank Whistleblower Program
Reports & Surveys
The Street, The Bull and The Crisis: A Survey of the US & UK Financial Services Industry
Reports & Surveys
2014 Annual Report on the Dodd-Frank Whistleblower Program
Reports & Surveys
2014 Report to the Nations on Occupational Fraud and Abuse
Reports & Surveys
Achievements, Challenges and Change: The SEC Whistleblower Program Year in Review
Reports & Surveys
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