Whistleblower Lawyer

Effective Legal Representation for Whistleblower Clients

Stone Law Group PLLC has represented dozens of securities industry whistleblowers – from hedge fund managers to investment bankers, from compliance personnel at leading banks and broker-dealers to finance personnel and controllers at listed firms – presenting their tips anonymously for them to the SEC and CFTC.  For more than a decade, since the start of the SEC and CFTC whistleblower programs, the firm has worked with these courageous whistleblowers throughout the process, from the initial preparation of a tip, through the many steps of government investigations, and through the application process for and receipt of financial rewards for our whistleblower clients.

Our strategy with you is different from many of our competitors.  From start to finish, we use a low-profile approach to protect our clients and to help maintain their anonymity.  We work for you.  We are not interested in self-promotion in the media, normally finding media avoidance with our clients’ tips about Wall Street wrongdoing is the wisest and safest course.

Under many whistleblower laws, those who report certain misconduct to state and federal authorities are eligible for multi-million dollar awards based on the multi-million dollar fines and damages collected by these authorities following their disclosures.  Many of these awards are based on the robust whistleblower programs adopted by the SEC and CFTC.

Those programs also include significant protections so that whistleblowers who retain counsel like me can maintain their anonymity while still being able to enjoy the financial rewards of a good whistleblower tip. The firm counsels and submits tips and claims for a large variety of whistleblowers, particularly whistleblowers on Wall Street and at leading financial firms around the world, from analysts to traders, bankers, managers, and even compliance personnel. I also have represented other people who possess or have developed credible information about violations, including investors, short sellers, sales agents, and other observers of misconduct.

The subject matter of whistleblower tips may include the following, and more:

• Corporate fraud
• Compliance failures and other inadequacies in compliance programs
• Misleading earnings projections and other misleading statements
• Accounting fraud
• Improper conduct by analysts
• Improper trading
• Channel Stuffing
• Stockbroker and brokerage fraud
• Market manipulation
• Insider trading

The Handling of Whistleblower Claims

Stone Law Group represents all types of whistleblower clients in matters such as those listed above. Our firm is committed to advancing the interests of justice while protecting the confidentiality, anonymity and financial interests of whistleblowers. As an experienced whistleblower law firm, we are familiar with the inner workings of many types of financial institutions, have a deep knowledge of how markets and trading work, and can always work with top experts in an industry when analyzing and presenting your whistleblower claims.

Is A Whistleblower’s Identity Protected by Law?

Are you a whistleblower and not sure if you are protected from retaliation from your former employer? The Whistleblower Protection Act protects all federal employees who report any fraudulent government activities. Public and private employees are protected under the Occupational Safety and Health Act, but there are certain limitations. and numerous other laws protect specific types of employees and other whistleblowers from retaliation. It is critical to consult with counsel to navigate questions relating to whether you are protected.

CFTC and SEC Whistleblowing

I have represented numerous clients in submitting dozens of securities industry tips to the SEC and CFTC and whose information and analysis uncovered major corporate wrongdoing at some of the world’s largest financial firms.

I also represent whistleblowers who file qui tam claims under the Federal False Claims Act and other similar laws involving:

• Tax fraud or the underpayment of taxes
• Healthcare fraud, including Medicare and Medicaid fraud
• Military spending fraud committed by defense contractors
• Fraud or misconduct related to other government spending or programs

What is a SEC Violation?

Securities and Exchange Commission (SEC) investigations are conducted in private. The evidence that is presented is informal inquiry, interviewing witnesses, going through records and trading data. Common violations that may possibly lead to a SEC investigation include the following:

• Withholding importation security information

• Embezzlement of customer’s funds or information

• Treating customers unfairly and violating dealers’ responsibility

• Trading non-public information

• Selling unregistered securities

With decades of legal experience as a litigator to bring to the table, I am dedicated lawyer, and I seek positive case results for those who have the courage to stand up to corporate fraud and abuse. All whistleblower cases are taken on a contingency basis, which means you pay nothing unless we win. I have earned a reputation for my firm’s sophisticated work product, creative strategies, and commitment to pursuing client goals, all of which have resulted in being named in New York Super Lawyers® list.