Amelia Toy Rudolph

Amelia Toy Rudolph

Sutherland Asbill & Brennan LLP

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Securities Class Action Defendants Can Rebut the Basic Fraud-on-the-Market Presumption of Reliance at the Class Certification...

The U.S. Supreme Court held yesterday that defendants in securities fraud class actions can defeat the Basic fraud-on-the-market presumption of reliance at the class certification stage “through evidence that the...more

6/24/2014 - Basic v Levinson Class Action Class Certification Fraud Fraud-on-the-Market Halliburton Halliburton v Erica P. John Fund Presumption of Reliance SCOTUS Securities Fraud

SEC Launches First Whistleblower Retaliation Case Under Dodd-Frank

On June 16, 2014, the U.S. Securities and Exchange Commission (SEC) initiated and resolved its first case charging an employer with unlawfully retaliating against a securities whistleblower under the Dodd-Frank Wall Street...more

6/23/2014 - Anti-Retaliation Provisions Dodd-Frank Employer Liability Issues Enforcement Actions SEC Whistleblower Protection Enhancement Act Whistleblowers

SEC Issues $875,000 Whistleblower Award

On June 3, 2014, the Securities and Exchange Commission (SEC or Commission) issued a whistleblower award to two individuals who had provided information leading to a successful SEC enforcement action. The whistleblower...more

6/10/2014 - Dodd-Frank Enforcement Enforcement Actions SEC Whistleblower Awards Whistleblowers

SEC’s Office of the Whistleblower Warns Companies and Inside Counsel Against Using Employment Incentives to Deter External...

During a recent panel discussion at the Georgetown University Law Center’s 18th Annual Corporate Counsel Institute, the head of the U.S. Securities and Exchange Commission’s Office of the Whistleblower, Sean McKessy, warned...more

3/20/2014 - Corporate Counsel SEC Whistleblower Protection Policies Whistleblowers

Are we headed toward “Basic writ small”?

The U.S. Supreme Court heard oral argument yesterday in the closely watched Halliburton Co. v. Erica P. John Fund, Inc., No. 13-317, which places in the Court’s crosshairs the continued viability of the fraud-on-the-market...more

3/7/2014 - Basic v Levinson Fraud-on-the-Market Halliburton Halliburton v Erica P. John Fund SCOTUS

Supreme Court Expands SOX Whistleblower Protection to Employees of Private Contractors of Public Companies

In the first SOX whistleblower case to be heard by the U.S. Supreme Court, the Court held on March 4 that the Sarbanes-Oxley Act of 2002 (SOX) prohibits private contractors of publicly traded companies from retaliating...more

3/6/2014 - Contractors Fidelity Investments FMR LLC Lawson v FMR Retaliation Sarbanes-Oxley SCOTUS Whistleblower Protection Policies Whistleblowers

M&A Brokers Exempt from SEC Broker-Dealer Registration Requirements

On January 31, 2014, the U.S. Securities and Exchange Commission’s (SEC) Division of Trading and Markets issued a No-Action Letter (Letter)1 that allows a private business broker (M&A Broker) to receive transaction-based...more

2/10/2014 - Broker-Dealer No-Action Letters Registration SEC Securities Exchange Act

SEC’s Examination Program Issues a Risk Alert on Investment Adviser Due Diligence Processes

On January 28, 2014, the U.S. Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert entitled: Investment Adviser Due Diligence Processes for Selecting...more

2/3/2014 - Compliance Due Diligence Enforcement Investigations OCIE SEC

State Attorney General Parens Patriae Actions Are Not Removable to Federal Court as CAFA “Mass Actions”

This week the U.S. Supreme Court unanimously held in Mississippi ex rel. Hood v. AU Optronics Corp. that parens patriae actions in which the State is the sole plaintiff are not “mass actions” under the Class Action Fairness...more

1/17/2014 - CAFA Class Action Mass Action Mississippi ex rel. Hood v. AU Optronics Parens Patriae Removal Rule 23 SCOTUS

High Court's Decision Next Term May Increase Sarbanes-Oxley Whistleblower Litigation

This November, in Lawson v. FMR LLC, the United States Supreme Court will hear argument on whether “whistleblowers” employed by a privately held contractor or subcontractor of a publicly traded company are protected from...more

8/28/2013 - Contractors Lawson v FMR Mutual Funds Retaliation Sarbanes-Oxley SCOTUS Subcontractors Whistleblowers

Fifth Circuit Creates Split on Scope of Retaliation Protection for "Whistleblowers" Under Dodd-Frank

Since the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act in 2010, a number of federal courts have grappled with the scope of the Act’s new protections for employee “whistleblowers.” Until recently,...more

8/7/2013 - Conflicts of Laws Dodd-Frank Retaliation Whistleblower Protection Policies Whistleblowers

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