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Investment Industry Whistleblowers

This section of the web site addresses securities fraud and corporate fraud from investment industry professions and organizations and how the SEC Whistleblower Act applies to each.  We have elected to break this section into the following parts:

Mutual Fund Industry and Whistleblower Laws >Investment Corporate Fraud
Exchange Traded Fund Industry and Whistleblower Laws >
Hedge Fund Industry and Whistleblower Laws >
Stock Broker Industry and Whistleblower Laws >

Before addressing the particulars of each industry, there are several themes relevant to whistleblower policy that apply equally well to each industry.

Criminal Fraud in Investment Firms is Never Tolerated

When dealing with whistleblower policy there are dozens if not hundreds of different whistleblower statutes across many federal agencies and across most states.  When dealing with securities laws, most of the statutes are quite complicated and thousands of really smart lawyers spend their entire career parsing the meaning of a couple of words in each statute.  This area of the law is nuanced, that’s for sure.  

However, criminal fraud is criminal fraud.  Ponzi schemes, stealing money, any taking of your money with the actual intent to deceive you and not return your money to you is a crime.  There is no parsing of words here. 
 

Investment Industry Professionals must Clearly State Investment Objectives

Nearly all laws, including Federal and state statutes regulating investment industries, the administrative rules developed under these statutes, and common law, require (in different degrees and methods) that an investment company and investment professional clearly explain to you how your money will be invested.  Moreover, once this disclosure is made, the investment company and investment professional must adhere to and abide by the investment objectives disclosed to you. If proper disclosures were not made to you or if the investment company or professional did not adhere to those objectives, then you should consider speaking with a whistleblower lawyer, as you may have a whistleblower claim.

How To Distinguish Between a Whistleblower Claim Versus Wrongful Conduct by a Rogue Investment Industry Professional

“Stock broker fraud” is a term of art used in the legal profession to describe the wrongful conduct of a rogue stock broker or financial advisor.  This type of isolated fraud conduct may not give rise to a whistleblower claim if the facts do not warrant.  However, the SEC has specific mechanisms to address these types of grievances and a whistleblower should consider filing a claim against that individual stockbroker or financial advisor through these channels.

“Stock broker fraud” is a term of art used in the legal profession to describe the wrongful conduct of a rogue stock broker or financial advisor.  This type of isolated fraud conduct may not give rise to a whistleblower claim if the facts do not warrant.  However, the SEC has specific mechanisms to address these types of grievances and a whistleblower should consider filing a claim against that individual stockbroker or financial advisor.