SEC Whistleblower Attorneys

An SEC Whistleblower Practice Specializing in the Asset Management Business

Nichols Kaster proudly represents whistleblowers who report violations of federal securities law to the U.S. Securities and Exchange Commission (SEC). We provide reliable and insightful legal counsel to clients across the nation who have witnessed and reported violations of securities laws and regulations.

Call us today at (877) 344-4628 if you believe you have information that could result in a successful SEC whistleblower tip.

A Whistleblower Firm Specializing in the Investment Management Business 

Though the SEC’s reach spreads throughout corporate America, a critical part of its function relates to the regulation of investment products, investment advisors, and the financial advisory business. And as you are well aware, these industries are governed by four distinct and overlapping federal statutes, a myriad of rules and regulations, decades of no-action letters, and a self-regulatory body (FINRA) to boot. Yet many attorneys advertising themselves as whistleblower attorneys have no familiarity with either the investment management business or the intricacies of this regulatory environment.

Nichols Kaster, PLLP stands out as the only whistleblower firm that specializes in SEC whistleblower complaints filed by employees working for financial services companies including mutual fund companies, financial advisory practices, insurance companies, hedge funds, and investment consultants. Our personal experience in the industry–with multiple attorneys working in financial services before attending law school–and our history of successful proprietary fund litigation against financial services companies such as Fidelity, Putnam, hedge fund MIO Partners, Deutsche Bank, PIMCO, M&T Bank, BB&T, and John Hancock–yielding over yielding over $100 million in settlements–uniquely qualifies us to understand your claim, identify the potential statutory and regulatory violations, and digest and understand whatever documentation you can provide.

So whether your claim is related to share classes; misleading communications to a fund company’s independent Board of Directors; non-compliant prospectus or SAI language; internal policies regarding proprietary fund usage that do not conform with public disclosures about objective advice; market or price manipulation (including in digital currencies); or improper use of mutual fund assets to pay for marketing and distribution-related expenses, we have the knowledge and experience to help you submit the best possible tip, and give you the best possible chance of earning a whistleblower award.

Who Can Be an SEC Whistleblower?

U.S. citizens and foreign nationals within or outside of an organization are eligible to become SEC whistleblowers. Whistleblowers can be eligible for an award if they voluntarily provide the SEC with original, timely, and credible information that leads to a successful enforcement action against the organization. You are not required to report the violation internally in order to act as a whistleblower. Further, if you wish to remain anonymous, the SEC has robust protections in place to protect the anonymity of whistleblowers. Filing the tip anonymously does not impact your eligibility for an award or the award amount.

What Can I Do If My Employer Retaliates Against Me for Filing an SEC Complaint?

It is illegal for employers to terminate, demote, discriminate, or harass an employee who engages in protected whistleblowing activity, including assisting the SEC in an investigation. If your employer retaliates against you for filing a whistleblower complaint, then you can take action against the company. Nichols Kaster has decades of experience bringing whistleblower retaliation suits, and are thus well-equipped to help you respond to any retaliatory action your employer might take in response to your whistleblower complaint. Consult with our legal team at Nichols Kaster, PLLP to learn more about your options.

If you are ready to schedule a free SEC Whistleblower Tip consultation with Nichols Kaster, PLLP, then please give us a call today at (877) 344-4628 or complete our online form.