Navigate the SEC whistleblower process with our comprehensive guide.
Learn how to report financial misconduct confidently and protect your identity.
A detailed walkthrough ensures you understand each stage, empowering you to play a crucial role in maintaining integrity in the financial sector.
The SEC whistleblower program was established in 2010 with the passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The program has proven a powerful tool for the Commission, enabling it to identify and prosecute potential fraud and other securities law violations much earlier than would otherwise have been possible.
Recognizing the importance of assistance and information from a company insider, the SEC established its whistleblower program.
Explore the comprehensive protections in place for SEC whistleblowers. Understand how the SEC ensures your confidentiality and shields you from retaliation. This informational guide equips you to blow the whistle confidently, knowing your rights are safeguarded by robust protections.
Whistleblowers who provide original information that leads to a successful SEC enforcement action resulting in sanctions exceeding $1,000,000 may receive a monetary award of 10%-30% of the money collected. This incentive has increased the SEC’s tip volume and helped reduce the harm to investors caused by securities violations.
However, reporting violations to the SEC and receiving an award are not always straightforward. Whistleblowers face many obstacles, including employer retaliation, delays in receiving their awards, and the risk of having their claims denied by the SEC.
Fortunately, the 2015 Supreme Court decision in Digital Realty Trust, Inc. v. Somers has provided whistleblowers with greater protection against retaliation. The Court held that an employee who reports potential securities law violations internally has not done enough to avail himself of the extensive anti-retaliation protections of Dodd-Frank. This means that employees who report violations to their employers are not protected from retaliation under Dodd-Frank and must instead report the violations to the SEC.
At our law firm, we understand the challenges that whistleblowers face and can provide the assistance and guidance needed to navigate the whistleblower process successfully. Our attorneys include former SEC attorneys and broker-dealer lawyers, who have the knowledge and experience to help whistleblowers present their information to the SEC and guide them through the process. We offer our services at no cost unless there is compensation to our client.
If you are considering blowing the whistle on securities violations at your company, you must work with an experienced attorney who can help you navigate the complexities of the whistleblower program. Contact us today to schedule a consultation and learn how we can help you report violations to the SEC and protect your whistleblower rights.
Our fee is contingent: a percentage of what our client receives; if the client receives nothing, our fee is zero.
If you believe you have a whistleblower claim, give us a call at 212-509-6544 or email me at mja@sallahlaw.com
Mark J. Astarita, Esq. is a securities lawyer who represents investors, financial professionals and firms in litigation, arbitration and regulatory matters across the country. He is a partner in the national securities law firm of Sallah Astarita & Cox, LLC and can be reached by email at mja@sallahlaw.com or by phone at 212-509-6544.
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The attorneys at Sallah Astarita & Cox, LLC are former SEC Staff Attorneys and brokerage firm counsel, with over 100 years of collective experience. If you have received a subpoena from the SEC, a document request from FINRA, or have a dispute with a brokerage firm, call 212-509-6544 for a free consultation. The firm represents investors and financial professionals nationwide.
Last updated on January 29th, 2026
Mark Astarita is a nationally recognized securities attorney, who represents investors, financial professionals and firms in securities litigation, arbitration and regulatory matters, including SEC and FINRA investigations and enforcement proceedings.
He is a partner in the national securities law firm Sallah Astarita & Cox, LLC, and the founder of The Securities Law Home Page - SECLaw.com, which was one of the first legal topic sites on the Internet. It went online in 1995 and is updated daily with news, commentary and securities law related links.
