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How to Report a Fraud to the SEC

If you are a corporate insider, an analyst, auditor, accountant, or if you are a former employee and you have specific information relating to any securities law violations, you may come forward and report the crime to the Securities and Exchange Commission. The size of your award will depend on the kind of information you present to the SEC. A whistleblower’s information should be presented to the SEC in a thorough, well-thought out manner, with corroborating documents, materials, and a list of potential witnesses. In many cases, the size of the reward depends on the nature of the information and how it is presented. It is critical that information provided to the SEC is complete and appears reliable.

You are not expected to have all the relevant documentation, but should have original information that is not known to the government. Original Information as described under the Dodd-Frank Act should be:

  • “Derived from the independent knowledge or analysis of a whistleblower.”
  • “Not known to the SEC other than by the whistleblower as the original source of information.”
  • “Not exclusively derived from an allegation made in a judicial or administrative hearing, audit, or investigation, or from the news media, unless a whistleblower is the source of the information.”


You can anonymously report the information to the SEC if you are represented by a lawyer.
Working with an experienced whistleblower attorney will ensure that your identity is protected until payment of the award. It will also ensure that your case is presented in the best possible light that the SEC would deem actionable.  If you do not want to remain anonymous you do not need to be represented by a lawyer.

Learn more about getting legal representation.


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