The Securities and Exchange Commission has increased its focus on securities fraud in the area of trading and pricing. This area often overlaps with various forms of market manipulation. Fraud surrounding the trading and pricing of securities undermines our trading markets and investor confidence in those markets and can cause significant loss to investors and ill-gotten gain to those committing this fraud. This includes potential securities violations by broker-dealers, financial exchanges and traders (including high-frequency trading companies), traders in off-exchange venues such as dark pools and others.
Commonly, whistleblowers are best situated to alert the SEC to this type of securities fraud. Those with knowledge of fraudulent activity in the trade or pricing of securities are encouraged to report to the SEC Whistleblower Office. If one reports such fraud with the help of qualified SEC whistleblower attorney, the whistleblower may remain anonymous.
Hagens Berman represents several whistleblower actions under the SEC Whistleblower Program, including representation of high-profile market expert Haim Bodek, and marshals its significant nationwide resources and expertise in financial fraud to best present whistleblower matters to the SEC.
