San Francisco SEC Whistleblower Lawyers

Nationally Recognized & Respected

The securities industry is one of the most heavily regulated sectors in the United States. Despite this, regulatory violations occur often, along with wrongful practices that harm consumers, investors, and the federal government. To help combat this problem, the U.S. Securities and Exchange Commission (SEC) has established the SEC Whistleblower Program, allowing individuals who report suspected securities law violations to receive a percentage of the government’s recovery.

If you have knowledge of possible securities law violations by a financial institution, corporation, or other entity, reach out to the legal team at Nichols Kaster LLP. With decades of experience, including a specific focus on financial services litigation and asset management, our San Francisco SEC whistleblower attorneys can assist you in bringing your claim. We provide personalized legal counsel and develop innovative strategies aimed at helping our clients successfully secure the monetary awards they are owed.

To learn more, call (877) 344-4628 or contact us online and request a complimentary case evaluation with a member of our team. Hablamos español.

Understanding the SEC Whistleblower Program

The SEC Whistleblower Program was created in 2010 under the Dodd-Frank Act and went into effect the following year. Under this program, individuals who voluntarily provide information regarding possible securities law violations to the SEC, resulting in sanctions totaling over $1 million, can recover up to 10 to 30% of those total sanctions.

To be considered, the information provided must be:

• Original
• Credible
• Timely
• Provided voluntarily

To be eligible to become an SEC whistleblower, an individual must be either a U.S. citizen or a foreign national working within or outside of an organization. To recover a percentage of the total sanctions, the information you provide must lead to a successful enforcement action by the SEC and result in more than $1 million in recovery.

Your Rights as an SEC Whistleblower

The SEC’s Whistleblower Program grants several rights to individuals who voluntarily come forward with information regarding possible violations of federal securities laws by organizations or professionals.

These rights include:

• The Right to Report Information Directly to the SEC: You have the right to report suspected or known securities law violations directly to the SEC. No organization or individual may take direct action against you to impede reporting or prevent you from contacting the SEC. This includes threatening to enforce or actually enforcing confidentiality agreements that state that you may not contact the SEC.
• The Right to Remain Anonymous: You have the right to remain anonymous when reporting suspected or known securities law violations to the SEC. Remaining anonymous does not affect your ability to recover a percentage of the total sanctions when the information you provide leads to a successful enforcement action resulting in over $1 million in sanctions.
• The Right to Be Free from Employer Retaliation: Your employer may not retaliate against you in any way for reporting suspected or known SEC violations to the SEC. Examples of retaliation include firing/terminating employment, discharging, demoting, suspending, harassing, or threatening to do any of these things to an employee.

If your employer does retaliate against you for filing a claim under the SEC Whistleblower Program or simply contacting the SEC with information regarding suspected or known securities law violations, you have the right to take legal action. You may sue your employer for retaliation and seek compensation for lost wages, back pay, reinstatement, and more.

Why Hire Our SEC Whistleblower Attorneys?

At Nichols Kaster LLP, we not only have extensive experience in securities law and regulatory enforcement, but we are also one of the only law firms in the United States that handles SEC whistleblower claims within the financial services sector. Our attorneys are highly familiar with the SEC’s relation to financial advisory businesses, investment products, investment advisors, and other parties within this industry, as well as the myriad rules and regulations that govern these entities.

We represent clients who wish to file SEC whistleblower claims against financial service providers, such as hedge funds, mutual fund companies, investment consultants, insurance companies, and financial advisory practices. We also assist clients with SEC whistleblower claims across a broad range of industries and have successfully litigated against major financial services companies, Fortune 500 companies, financial institutions, and more.

Our San Francisco SEC whistleblower attorneys are uniquely qualified to assist you with your claim. Our firm is nationally recognized for its decades of experience and respected for its long history of success, having secured more than $100 million in settlements to date.

Contact us today at (877) 344-4628 to request a free and confidential case review.