SEC Whistleblower Lawyer in New York
Retaliation Defense for Employees & Executives Reporting Securities Fraud
When you report suspected securities fraud, misleading financial statements, or violations of SEC or FINRA rules, your employer may be legally prohibited from retaliating against you. At Arcé Law Group, we represent employees and executives who face that retaliation anyway, whether they reported to the SEC directly or raised concerns through internal compliance channels. We represent frontline employees and C-suite professionals alike, including CEOs, CFOs, & COOs, and Chief Compliance Officers. And we represent only employees. Not employers.
If you’ve faced retaliation for reporting a securities violation, call us today at (866) 426-7182 for a free, confidential consultation with no obligation.
What Arcé Law Group Brings to Securities Whistleblower Cases
Our results in whistleblower and retaliation matters are documented. We secured a $2 million whistleblower retaliation settlement, and we’ve been part of trial teams that obtained a $4.25 million verdict and a $2.2 million race and retaliation verdict, demonstrating experience handling high-stakes employment cases.
Of Counsel attorney Jesse S. Weinstein focuses on whistleblower retaliation and whistleblower litigation matters. He and his team have helped recover nearly $50 million in settlements on behalf of employees and whistleblowers. Our attorneys are admitted to practice in New York state courts and in federal courts, including the U.S. Court of Appeals for the Second Circuit and the U.S. District Courts for the Southern, Eastern, and Northern Districts of New York, the courts where many securities-related retaliation claims are litigated.
Legal Protections Against Retaliation in New York
Multiple federal and state laws protect employees who report securities violations. Which law applies to your situation affects both the remedies available and the deadlines for filing a claim.
Dodd-Frank Act Anti-Retaliation Provisions
The Dodd-Frank Wall Street Reform Act may prohibit employers from retaliating against employees who report suspected securities law violations to the SEC. To qualify for Dodd-Frank’s anti-retaliation protection, you must report your information to the SEC in writing, consistent with the U.S. Supreme Court’s holding in Digital Realty Trust, Inc. v. Somers. Separately, Exchange Act Rule 21F-17 prohibits anyone from taking action to prevent an employee from communicating directly with the SEC about a possible violation.
Sarbanes-Oxley Act, Section 806
Section 806 of the Sarbanes-Oxley Act may protect employees of publicly traded companies, including their contractors and subsidiaries, from retaliation for reporting suspected financial fraud or securities violations. SOX covers a broader category of internal reports and applies even when no SEC submission has been made.
New York State and City Human Rights Laws
The New York State and New York City Human Rights Laws may also prohibit employer retaliation against employees for reporting workplace violations. These laws offer broad anti-retaliation protections and can apply alongside federal claims.
Empowering Employees to Take Action
See how we've helped professionals fight back against harassment and retaliation
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New York’s Role in Federal Securities Enforcement
The SEC’s New York Regional Office enforces federal securities laws and examines regulated entities, including investment advisers, investment companies, and broker-dealers. Its enforcement and examination activity covers New York and New Jersey, which means securities whistleblower matters connected to financial institutions based in New York often move through this office and the federal courts where we practice. That geographic reality can matter when building a retaliation case and determining where to file.
