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Being a Whistleblower

What Is a Whistleblower, Generally?

A whistleblower is a person who is aware of misconduct and/or illegal activity and reports it to the correct sources, such as regulatory bodies.

What Is a Whistleblower in the Securities Industry?

Whistleblowers are an essential part of enforcement in the securities industry, such as SEC actions. Many times, whistleblowers, employees, and/or investors are the only way that regulatory agencies such as the SEC, FINRA, the DOJ, and OIG find out that any misconduct is occurring.

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Should I Submit a tip to the SEC or FINRA?

In considering whether to submit a tip to the SEC or FINRA, informants must consider how important anonymity is and if they need to hire a lawyer. The SEC Office of the Whistleblower is a great resource for those who do not have counsel to identify whether they have a claim and get help finding representation.

FINRA’s website also allows anonymous tips but cannot guarantee anonymity. Whereas the SEC has strict guidelines regarding anonymity but does not allow an informant to submit anonymously without counsel. In comparing the submission process, the FINRA website provides a simple medium for individuals without counsel to fill out but may require some follow-up, whereas the SEC website asks for most of the information upfront. In either case, it is always best to have a lawyer assist you, especially if you are considering a private action. You would not want to prejudice your civil case for damages.

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Where Can I Submit a Tip Through FINRA?

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Where Can I Submit a tip Through the SEC?

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How Can I be Proactive in Preventing Corruption?

As an investor, it is important to be active and strategic about which investment firms/companies you allow to manage your money. To be proactive in preventing the necessity of whistleblowing in the first place, one should think about the size, region, and sector of companies they interact with. Investors should look out for red flags throughout the relationship with their broker and also consider company policy, mission statement, and commitment to integrity when choosing a company to invest with. Investors should also consult knowledgeable securities law attorneys if “something doesn’t feel right” and get a free consultation from Malecki Law.

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Testimonials From Former Clients
I highly recommend Jenice and her team at Malecki Law. I had a challenging, and lengthly case. Jenice was professional, very knowledgeable, and a pleasure to work with. She managed to make the process far less stressful during a very difficult time. They care about their clients, and it definitely shows. Mario
Jenice is truly a miracle worker and one of the top securities lawyers. She handled a very difficult case for us, displaying her legal knowledge, intelligence, and savviness throughout the process. I cannot recommend her enough. The quality of work from her team rivals that of corporate law firms. She was always available, extremely professional, and made sure to know all the details of the case. We were very fortunate to have been referred to Jenice and highly recommend her for any securities related legal issues. Nathan A.
An excellent professional who represented us in trial regarding a bank fraud, an unexpected and difficult time. A professional that worked hard, persevering and who stood toe to toe against firms that had a team of excellent lawyers backing them up. Her unflinching determination really stands out, it makes you feel you have someone who really cares about trying to recover what you lost from the people that wronged you. Salomon Levi
It is difficult to thank you in words when gratitude comes from the heart, so I will try to link feelings with writing. It is essential for us to mention your excellence as a professional, your aptitude on legal fields, and your unavoidable persistence. All of these virtues that elevate the profession you exercise in such an admirable way, go hand in hand with your sense of ethics, your human warmth and the transparency in your actions. To sum up, thank you for being a listening ear and for having the right word while transmitting information about the legal process. Having you as our representative during such an adverse situation was a privilege and enough reason for our eternal gratitude. Angeles Aparain
To say that my securities litigation was complex would be a severe understatement. With multiple parties involved and spanning many years, trying to understand the issues was daunting to say the least. Jenice and her team broke down the transactions by segment and by party uncovering every hidden expense. In the end, I was more than happy and could not thank Jenice and her team enough. I would not hesitate to recommend Jenice to anyone. She is highly professional, incredibly knowledgeable, well connected to industry experts, has a tireless work ethic and is so pleasant and easy to communicate with. Five stars for sure! Andrew Loughrane