Securities Whistleblower Incentives & Protection

On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”). Among other things, the Dodd-Frank Act enables the Securities and Exchange Commission (SEC) to pay an award to eligible whistleblowers who voluntarily provide the SEC with original information about a violation of the federal securities laws that leads to a successful enforcement action.

The Act expressly prohibits retaliation by employers against individuals who become whistleblowers under SEC rules and provides them with a private cause of action in the event that they are discharged or discriminated against by their employers in violation of the Act.

Be Prepared: Let Our Miami Securities Lawyers Help

Awards paid to whistleblowers under this provision can be substantial, but strict compliance with SEC regulations is required.  The Miami securities lawyers at Stumphauzer & Sloman are familiar with the regulations implementing the whistleblower program and can assist you by preparing your submission and enforcing your rights.  If you wish to submit information regarding a potential violation of the federal securities laws, please contact the lawyers at Stumphauzer & Sloman at

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Stumphauzer & Sloman

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One Biscayne Tower
2 South Biscayne Boulevard
Suite 2550

Miami, FL 33131

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