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Jan 4, 2017 by |

Santa Clara Tax Attorney: Securities and Exchange Commission Whistleblowing


Responsibility Matters: What to Know and How to Do It


Whistleblowing is a difficult topic, often because people are reluctant to do it out of uncertainty or unease or, worse, fear of retaliation. But in many cases it is the responsible course of action when one is aware of illegal activity in the workplace.. Whistleblowing is the term commonly used when an employee brings attention to the appropriate authorities their employer’s illegal conduct. In the securities and accounting industries the appropriate authority is the Securities and Exchange Commission (SEC). Here are a few things to keep in mind if you or someone you know senses illegal securities manipulation or suspicious financial or accounting activity in the workplace

Whistleblowing in the SEC

The SEC was created by the Securities Exchange Act of 1934 to police, investigate, and prosecute instances of securities fraud, insider trading, insufficient issuer disclosure, and illegal market manipulation. The SEC also enforces the accounting transparency rules of the Foreign Corrupt Practices Act of 1977 (FCPA). Before you report suspicious activity in the workplace to the SEC, you should consider consultation with a lawyer. You will want to understand your rights, responsibilities, and, most importantly, your protections. By calling Evans Law Firm, you are committing to the highest level of experience in this area.. You should know that there can be monetary awards for individuals who inform the SEC of fraud cases which the SEC would not have discovered without that individual’s information and assistance.

Decisions, Decisions…

To tell or not to tell? The SEC says tell. The rules enforced by the SEC are central to the financial stability – and fairness – of a free enterprise economy. In the decades since its creation in the 1930s, the SEC has put an end to countless illegal schemes. Since 1977, the FCPA accounting transparency rules have helped ensure greater honesty and openness in the world of financial analysis. Sadly, countless fraudulent schemes went unnoticed over the years as well and ruined the financial well-being of thousands. With your help, the government can catch fraud before there’s injury and before innocent victims have their life savings cleaned out. If you’re aware of illegal securities or accounting activity, make the right choice: consult an attorney and report the illegal activity to the appropriate authority. ..

Contact Us

If you or a loved one is in need of any SEC whistleblowing representation in California, contact the Evans Law Firm SEC whistleblowing attorneys at (415) 441-8669, or by email at Our attorneys have experience with complex financial contracts and securities instruments and large insurance companies. We also handle cases involving physical and financial elder abuse, nursing home abuse, whole life insurance and universal life insurance, and indexed, variable, and fixed annuities.

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