Wall Street Whistleblower Attorney
If You Work on Wall Street and Need to Blow the Whistle, Our Attorneys Can Help
The companies and firms headquartered on Wall Street are among the most powerful private and publicly traded organizations in the world. Every day, they execute billions of dollars in financial transactions, and their decisions impact investors not only across the United States, but around the world.
While federal regulators do their best to keep an eye on Wall Street, they cannot manage the task of protecting investors on their own. As a result, regulators including the U.S. Securities and Exchange Commission (SEC) and U.S. Commodity Futures Trading Commission (CFTC) rely on whistleblowers to come forward. Whistleblowers play a vital role in keeping Wall Street in check; and, if you believe you have information that may qualify you as a whistleblower, it is important that you speak with a whistleblower lawyer about coming forward.
Each Wall Street whistleblower lawyer at Oberheiden P.C. has extensive experience advising and representing clients in federal whistleblower matters. Whether you have information that would be of use to the SEC, CFTC, or any other federal agency, we can guide you through your next steps. We can file your whistleblower complaint and work with the federal government on your behalf—and we can work with the government to protect your identity throughout the process.
Blowing the Whistle on Wall Street: What Potential Whistleblowers Need to Know
At Oberheiden P.C., we are committed to helping potential whistleblowers make informed decisions. We understand that most potential whistleblowers have lots of questions, and many are apprehensive not only about filing a complaint with the government, but even about sharing their information with an attorney.
So, what do you need to know if you are thinking about blowing the whistle? Here is what you can expect when you meet with a Wall Street whistleblower attorney at Oberheiden P.C.:
- We will not share your information unless you authorize us to do so. When you have information that qualifies you as a whistleblower, it is up to you to decide when (and if) to come forward. We will hold all information you share with us in strict confidence, and we will not disclose it to the government unless you authorize us to do so.
- We will help you make an informed decision about whether to blow the whistle. Even when blowing the whistle is the right thing to do, it can be difficult to make the final decision to move forward. Our attorneys can give you all of the information you need so that you can feel confident in your decision-making.
- We will file your whistleblower complaint with the appropriate federal agency. If you decide to move forward, we will file your whistleblower complaint with the appropriate federal agency. While this will most likely be the SEC or CFTC, there are other possibilities as well. As former federal prosecutors, many of our Wall Street whistleblower lawyers have first-hand experience working with the agencies that investigate and prosecute Wall Street fraud.
- We will work with the government to protect your identity. As a Wall Street whistleblower, you are entitled to confidentiality. Our attorneys can work with the government to protect your identity throughout the whistleblower complaint process.
- We will communicate with the government on your behalf during its investigation. Once you blow the whistle (if you decide to do so), the government will use the information you provide to conduct an investigation. Our attorneys will communicate with the government during its investigation and assist with gathering any additional information the government needs to pursue a civil or criminal enforcement action.
In many cases, individuals who blow the whistle on Wall Street are entitled to receive a portion of any fines or damages the government collects as a result of its enforcement efforts. If you are entitled to a whistleblower compensation award, we can assist with claiming your award as well.
Do You Have Information That Makes You a Wall Street Whistleblower?
When can (and should) you blow the whistle on Wall Street? Under the Securities Exchange Act of 1943, Dodd-Frank Act, Sarbanes Oxley Act (SOX), and other federal laws and regulations, whistleblowers can receive protection (and financial compensation) for disclosing numerous forms of fraud and other misdeeds. This includes all of the following committed by Wall Street companies, firms, brokers, executives, and other insiders:
- Churning, charging excessive fees, and other forms of brokerage fraud
- Corporate accounting fraud
- Cryptocurrency-related fraud
- Filing false reports with the SEC or CFTC
- Fraudulent initial public offerings (IPOs) and initial coin offerings (ICOs)
- Front-running and other trading violations
- Insider trading
- International investment fraud schemes
- Market manipulation
- Ponzi schemes and other forms of investment fraud
- Public corruption and bribery
- Tax evasion and tax fraud
Even these are just examples. Wall Street fraud can take many different forms; and, as the markets change and new technologies evolve, fraud schemes are becoming increasingly sophisticated. The SEC and CFTC rely on whistleblowers to help them uncover emerging forms of fraud; and, in many cases, engaging with the SEC or CFTC promptly can help to significantly mitigate investors’ and other taxpayers’ losses.
To file a whistleblower claim with the SEC or CFTC (or any other federal agency), you don’t have to have complete evidence of a crime or civil statutory violation. In fact, even if the information you provide doesn’t ultimately lead to a federal enforcement action, you are still entitled to protection as a whistleblower as long as you reasonably believed that the information you provided was evidence of civil or criminal misconduct. At Oberheiden P.C., we have extensive experience handling federal securities and commodities fraud matters—including prior experience at the U.S. Department of Justice (DOJ)—and we can use this experience to help you decide whether you are prepared to come forward.
The Process for Filing a Whistleblower Complaint Against a Wall Street Firm or Company
The steps involved in filing a whistleblower complaint against a Wall Street firm or company vary depending on the agency you need to contact. Generally, however, while both the SEC and CFTC accept whistleblower complaints online, you should not submit a complaint until you have consulted with a Wall Street whistleblower attorney. An experienced attorney will be able to help protect your identity and ensure that you receive all statutory protections to which you are legally entitled, and your attorney will be able to communicate effectively with the SEC or CFTC (or other federal law enforcement authorities) on your behalf as well.
While you will need to remain involved in the process, our attorneys will handle as much of the process on your behalf as possible. We will keep you updated and informed throughout, and we will provide advice and recommendations when you need to make decisions. As your legal counsel, we are committed to protecting your best interests, and we will work closely with you throughout the process to ensure that you feel comfortable and confident in your decision to come forward.
FAQs: Working with a Wall Street Whistleblower Lawyer at Oberheiden P.C.
Will I be fired if I blow the whistle on my Wall Street employer?
If you qualify as a whistleblower under the Dodd-Frank Act, SOX, or any other federal statute, your Wall Street employer cannot legally fire you for blowing the whistle. Whistleblowers are entitled to protection against all forms of employment-related retaliation under federal law.
Can a Wall Street whistleblower attorney keep my identity confidential?
If you hire a Wall Street whistleblower attorney to represent you, your attorney will work with the federal government to protect your identity. Federal whistleblowers are entitled to confidentiality in nearly all circumstances.
How do I file a whistleblower complaint against a company or firm on Wall Street?
To file a whistleblower complaint against a company or firm on Wall Street, you will want to speak with an attorney who handles whistleblower complaints with the SEC and CFTC. The steps you need to take will depend on the circumstances at hand, and you will need to work with the appropriate federal authority in order to secure whistleblower protection.
Do Wall Street whistleblowers receive financial compensation?
Individuals who file whistleblower complaints with the SEC and CFTC are entitled to financial compensation in many cases. If your complaint makes you eligible for a compensation award, our attorneys can work to secure your award on your behalf.
What should I do if I have information about fraud, insider trading, or corporate crimes on Wall Street?
If you have information about fraud, insider trading, or corporate crimes on Wall Street, you should speak with a whistleblower attorney promptly. At Oberheiden P.C., we have extensive experience representing whistleblowers, and we can help you do what is necessary to come forward.
Speak with a Wall Street Whistleblower Attorney in Confidence
If you would like to speak with a Wall Street whistleblower attorney at Oberheiden P.C., we invite you to get in touch. Please call 888-680-1745 or contact us confidentially online to arrange a complimentary (and completely confidential) consultation.