SEC Whistleblower Awards: Can whistleblower get an award for reporting books and records violations?
According to the SEC whistleblower reward program ... the answer is yes.
If someone makes a disclosure to the SEC about a books and records violation that brings forth a favorable enforcement action and recovers over $1 million in monetary sanctions, they will be qualified for an award. The award could range from 10% to 30% of the collected proceeds. This white paper reviews SEC books and records requirements and SEC internal controls requirements.
Jason Zuckerman litigates whistleblower retaliation and rewards, wrongful discharge, and other employment-related claims, and authors the Whistleblower Protection Law Blog. His broad experience includes serving as Senior Legal Advisor to the Special Counsel at the U.S. Office of Special Counsel, the federal agency charged with protecting whistleblowers in the federal government. In 2012, the Secretary of Labor appointed Zuckerman to serve on the Whistleblower Protection Advisory Committee, which makes recommendations to the Secretary of Labor to improve OSHA’s administration of federal whistleblower protections.
Matthew Stock is an associate at Zuckerman Law, where his practice focuses on representing whistleblowers in whistleblower rewards and whistleblower retaliation cases. Mr. Stock has audited a broad range of industries, both domestically and internationally, including large public companies and financial institutions. He uses his auditing experience to help IRS, CFTC and SEC whistleblowers investigate and disclose complex financial frauds to the government.
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