SEC Whistleblower Law Resources

Contact UsFor an in-depth explanation of the nuts and bolts of the SEC Whistleblower Program, from preparing a winning “tip” to cooperating in an SEC investigation to claiming a whistleblower award, read KMB's SEC Whistleblower Practice Guide. The 9th edition of the Guide published in 2020 and written by SEC...
What Is The Foreign Corrupt Practices Act? In addition to rewarding whistleblowers who report securities violations within the United States, the Dodd-Frank Act also requires the Securities and Exchange Commission (“SEC”) to reward whistleblowers who voluntarily provide original information regarding bribes paid to foreign...
This article was first published in Corporate Compliance Insights by Michael Filoromo and Zac Arbitman of Youman & Caputo, LLC. Compliance officers eligible to participate in the SEC and CFTC whistleblower programs must navigate strict rules. Speaking up always carries risk, but – as Michael Filoromo and Zac Arbitman...
This article was first published in Corporate Complaince Insights by Michael Filoromo and Zac Arbitman of Youman & Caputo, LLC. Whistleblower award programs established by the Securities Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) hit their strides in 2018. Less than a decade after its...
Who Qualifies For SEC Whistleblower Rewards? In order to qualify for an SEC whistleblower award, you must voluntarily provide the SEC with original information that assists the SEC in bringing an enforcement action that results in sanctions of more than $1 million. Here are some of the more important requirements contained in...
Katz, Marshall & Banks Partner Alexis Ronickher published an article in Corporate Compliance Insights on October 10, 2017 entitled “SEC Issues Statement on Cybersecurity.” Click here to view the article on the CCI website, or read the full text of the article below. High-profile data breaches seem to come fast and...
SEC Whistleblower Program Explained Reporting securities violations performs an important service for shareholders and investors. It might also earn you a significant monetary award. Katz, Marshall & Banks partners Lisa J. Banks and David J. Marshall are nationally-recognized whistleblower attorneys, who have the...
On October 6, 2016, Katz, Marshall & Banks partner Alexis Ronickher authored an article for the FCPA Blog entitled, "SEC brings its first stand-alone whistleblower retaliation action." In the article, Ms. Ronickher discussed the significance behind the U.S. Security and Exchange Comission's (SEC) recent...
Katz, Marshall and Banks partner David Marshall authored an article for the FCPA blog on August 15, 2016, entitled, “SEC breaks new ground, bans employer-imposed waiver of right to whistleblower award.” The article discussed how the SEC's recent action imposing a $265,000 penalty on BlueLinx Holdings Inc. for...
Law360’s Carmen Germaine interviewed Katz, Marshall and Banks partner David Marshall for an article for Law360 on August 11, 2016, entitled, “SEC Shows No Patience For Muzzling Whistleblowers.” The article discussed the SEC's recent settlement with an Atlanta-based construction products distributor called...

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