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Securities and Exchange Commission double down on incentives crystallized last month by the high court's ruling in Digital Realty Trust Inc . v. Paul Somers that could steer large numbers of employees away from reporting securities-related complaints internally. That's a problem for companies and their shareholders, the experts say, because complaints that stay inside the company often avoid SEC intervention, while complaints taken directly to the SEC can lead to costly investigations and embarrassing revelations. "These issues have been around for a long time, but now it's reaching a critical mass in light of the Digital ruling and these extremely large awards," said Rebecca M. Katz, a former SEC enforcement attorney and now of counsel to Kessler Topaz Meltzer & Check LLP . "It just adds even more incentive for a whistleblower to go to the SEC rather than reporting internally first." The Supreme Court ruled in February that employees who bring securities law complaints against their companies must first take their allegations to the SEC, rather than filing their complaints internally, to be protected by anti-retaliation measures afforded under the 2010 Dodd-Frank Act. Securities attorneys said at the time of the Digital ruling that the decision could hurt companies if employees, fearful that they lack protection from retaliation, start taking complaints in large numbers directly to the SEC instead of reporting internally. Historically, most whistleblower complaints — 83 percent, according to recent SEC statistics — have first been reported internally, a practice widely viewed as benefiting companies because it allows them to get out in front of the complaint before regulators get involved. "It will be tougher for companies to entice whistleblowers to report internally after Digital and given the size of these awards," Katz said.
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