• 72 minutes

Requirements and Procedures of the SEC's Whistle-Blower Program


Who can be a whistle-blower?

Dodd-Frank defines whistle-blower to mean an individual who provides, or 2 or more individuals acting jointly who provide, information relating to a violation of the securities laws to the SEC in a manner established by SEC rule or regulation. Certain incentives and legal protections are available to whistleblowers under Dodd-Frank. Does the anti-retaliation provision apply only to individuals who satisfy the statutory definition of a whistle-blower – meaning only those who reported to the SEC? This video reviews whistle-blower eligibility for an award, how they are rewarded and legal protections for whistle-blowers.

Runtime: 71 minutes



Lex Urban

Lex Urban

Cadwalader, Wickersham & Taft LLP

  • Special counsel in Cadwalader’s White Collar Defense and Investigations Group
  • Experienced in representing corporations and individual clients in a variety of criminal, civil and regulatory matters before the SEC, U.S. Department of Justice and other government agencies
  • Author of several publications related to securities enforcement
  • Received Outstanding Achievement Award from the Washington Lawyers' Committee for Civil Rights and Urban Affairs for his work in the field of DC Prisoners' Rights
  • Helped draft a successful amicus curiae brief to the Supreme Court of the United States in Yates v. United States, construing Sarbanes-Oxley’s criminal provision for document destruction, 18 U.S.C. § 1519)
Kyle De Young

Kyle De Young

Cadwalader, Wickersham & Taft LLP

  • Partner in Cadwalader’s White Collar Defense and Investigations Group
  • Securities enforcement expert and skilled trial lawyer, who advised high level officials in the U.S. Securities and Exchange Commission’s Enforcement Division
  • Previously was senior counsel to co-directors of enforcement of the SEC Stephanie Avakian and Steven Peikin, and to former director of enforcement Andrew Ceresny
  • Advised and assisted in the overall management of the SEC’s enforcement program, giving him a unique understanding of how the SEC makes enforcement decisions and approves settlements
  • Possesses a sophisticated view of the SEC’s current areas of focus and the attitudes that will shape its priorities going forward
  • Previously served as a trial lawyer in the Division of Enforcement’s Trial Unit
Kendra Wharton

Kendra Wharton

Cadwalader, Wickersham & Taft LLP

  • Associate in Cadwalader’s White Collar Defense and Investigations Group
  • Advises clients in a broad range of criminal, civil and administrative proceedings and litigation, as well as in corporate internal investigations
  • Regularly handles matters focused on alleged violations of the FCPA, the federal securities laws, the federal money laundering and asset forfeiture laws, and the False Claims Act
  • Prior to practicing law, was a legislative aide in the United States Senate covering banking and financial services among other issues

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