How can you protect your clients, and other investors, against unscrupulous fund managers and investment advisers, if you ever have evidence (or strong suspicions) about illegal conduct?
One possible deterrent is to submit the information to the SEC Office of the Whistleblower.
During a time when whistleblowing (in general) has become more controversial, the SEC's program is going strong, as was intended when it was created by the 2010 Dodd-Frank act.
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