How to Report Securities Violations

Now that you have learned valuable information about a possible securities law violation within your corporation or a company you’re involved with in some way, you likely hope to do the right thing by reporting the wrongdoing so the company’s investors don’t lose money and the integrity of the company remains intact. To learn more about how to report potential securities violations, read on.

Internal Compliance

Ever since 2002, when the Sarbanes-Oxley Act took effect, publicly traded companies are required to implement internal whistleblower hotlines so employees who become aware of violations can report their tips directly to the corporation. That way, companies can begin investigating the claims submitted to them.

This is one option for you to report a tip—through your company’s internal compliance division or hotline. However, you may be concerned that, if you report internally, your supervisors and colleagues will retaliate against you or the company will try to cover up the violation you discovered.

This is why, with the enactment of the Dodd-Frank Act, would-be whistleblowers are also encouraged to report violations directly to the SEC. To help ensure you’re safe from retaliation and likely to receive any applicable rewards, consider teaming up with an SEC whistleblower lawyer who can protect you.

Submitting Information to the SEC

There are a number of ways to submit your information to the SEC. You can file a report online through the Commission’s Tips, Complaints, and Referrals questionnaire or file a hard copy of Form-TCR by mail.

Perhaps the simplest way to report a tip to the SEC is with the assistance of a qualified SEC whistleblower lawyer. If you are concerned about retaliation from your employer and are hoping to remain anonymous while still qualifying for a whistleblower award, working with an attorney can afford you the protections you desire.

We can submit your tip for you under the condition of anonymity and even shield your identity from the commission by only conducting interviews via telephone. This way, you’ll be able to remain at your job, and your professional reputation can remain untarnished.

Get in Touch with an SEC Whistleblower Lawyer

If you’d like to begin working with an SEC whistleblower lawyer at Meissner Associates while remaining an anonymous informant, give us a call at 1-866-764-3100 or simply fill out the contact form at the bottom of this page.