Are You Interested in Being An SEC Whistleblower?

STOCKBROKER LAW - Posted on May 15, 2015

The Office of the Whistleblower of the Securities and Exchange Commission (hereafter “SEC”) established a
whistleblower program on July 21, 2010 as a part of the Dodd-Frank Wall Street Reform and Consumer
Protection Act signed by President Obama on July 21, 2010. The SEC Office of the Whistleblower hosts
Frequently Asked Questions (www.SEC.gov/whistleblower). The whistleblower tip submissions can be made
either online through the SEC’s tip, complaint or referral portal, or by mailing or faxing a Form TCR
to:

SEC Office of the Whistleblower
100 F Street, N.E.
Mailstop 5553
Washington, DC 20549
Fax: (703) 813-9322

As noted by Sean X. McKessy, Chief of the SEC’s Office of the Whistleblower “The Whistleblower Program is
designed to aid the SEC’s efforts to protect investors from those who violate the Securities laws by
encouraging those who are aware of misconduct to come forward to report it to us so that prompt and
effective action can be taken to prevent or stop the conduct.”

The Law Offices of Timothy J. O’Connor offers a free initial consultation to any Securities industry
professionals who would like to know more about the SEC Whistleblower Program or who are interested
in submitting information regarding possible Securities Law violations to the SEC.