Bryan House

Bryan House

Foley & Lardner LLP

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A Review of Recent Whistleblower Developments

SEC Brings First Stand-Alone Whistleblower Retaliation Enforcement Action - On September 29, 2016, the U.S. Securities and Exchange Commission (SEC) brought its first stand-alone whistleblower retaliation case under...more

10/10/2016 - Administrative Appeals Administrative Proceedings Anti-Retaliation Provisions Corporate Counsel Defend Trade Secrets Act (DTSA) DOL Enforcement Actions Merrill Lynch Popular Remediation Remedies Rule 21F Sanctions Sarbanes-Oxley SEC Severance Agreements Standard of Review Whistleblower Awards Whistleblower Protection Policies Whistleblowers

A Review of Recent Whistleblower Developments

SEC Awards Bounty to Whistleblower, But Offsets Award for a Judgment Against the Whistleblower - The extent to which the SEC would reward whistleblowers, who themselves engaged in wrongdoing, has been the subject of...more

4/13/2016 - Adverse Employment Action Amicus Briefs CFTC Corporate Counsel Dodd-Frank Enforcement Actions Internal Investigations Protected Activity Retaliation Sarbanes-Oxley SEC Whistleblower Awards Whistleblowers

Wisconsin Supreme Court Reminds That Duty to Defend is Broader Than Duty to Indemnify

A liability insurance policy generally imposes two duties on the insurer: (1) a duty to indemnify the insured against claims that are covered by the policy, up to the policy limits; and (2) a duty to defend the insured...more

3/9/2016 - Breach of Duty Commercial General Liability Policies Duty to Defend Indemnification Insurance Litigation Penalties Policy Limits Self-Insurance WI Supreme Court

A Review of Recent Whistleblower Developments

Several important matters related to whistleblower actions occurred toward the close of 2015, including the first instance of a director being held individually liable for retaliation, a dismissal of the Berman v. Neo@Ogilvy...more

1/8/2016 - Anti-Retaliation Provisions CFTC Confidentiality Agreements Corporate Counsel Dodd-Frank FCPA Internal Reporting Petition for Writ of Certiorari Sarbanes-Oxley SCOTUS SEC Whistleblower Awards Whistleblower Protection Policies

A Review of Recent Whistleblower Developments

Second Circuit Splits from Fifth Circuit on Whistleblower SEC Reporting Obligations On September 10, 2015, the Second Circuit in Berman v. Neo@Ogilvy LLC, 2015 U.S. App. LEXIS 16071 (2d Cir. 2015), ruled that...more

10/5/2015 - Anti-Retaliation Provisions Barnes and Noble Confidentiality Agreements Corporate Counsel Dodd-Frank Enforcement Actions Fraud Internal Reporting Interpretive Rule OSHA Protected Activity Reversal Sarbanes-Oxley SEC Termination Whistleblower Awards Whistleblower Protection Policies Whistleblowers

Second Circuit: No SEC Reporting Requirement in Dodd-Frank Whistleblower Provisions

In a much-anticipated decision, the U.S. Court of Appeals for the Second Circuit set up a possible showdown at the U.S. Supreme Court when it decided on September 10 that whistleblowers need not report to the SEC in order to...more

9/15/2015 - Anti-Retaliation Provisions Disclosure Requirements Dodd-Frank Sarbanes-Oxley SEC Whistleblower Protection Policies Whistleblowers

A Review of Recent Whistleblower Developments

SEC Awards Another Whistleblowing Compliance Officer - On April 22, 2015, the Securities and Exchange Commission (SEC) announced an award between $1.4 and $1.6 million to a compliance officer who provided information...more

7/8/2015 - Attorney-Client Privilege Certificates of Compliance Chief Compliance Officers Compliance Confidentiality Agreements Enforcement Actions False Claims Act (FCA) FINRA Internal Investigations IRS Retaliation Sarbanes-Oxley SEC Tax Court Upjohn Warnings Whistleblower Awards Whistleblower Protection Policies Whistleblowers Wrongful Termination

SEC Brings Enforcement Proceeding Relating to Confidentiality Agreements That May Stifle Whistleblowers

After repeated public statements warning companies that might seek to stifle whistleblowers, the U.S. Securities and Exchange Commission (SEC) has brought its first enforcement action relating to language in confidentiality...more

4/3/2015 - Confidentiality Agreements Contract Terms Enforcement Actions KBR (formerly Kellogg Brown & Root) SEC Whistleblower Protection Policies Whistleblowers

A Review of Recent Whistleblower Developments

• Fourth Circuit Applies Two-Year Statute of Limitations to SOX Whistleblower Claim and Confirms Availability of Emotional Distress Damages • SDNY Holds That SOX Protects Employee From Retaliation for Activity Engaged...more

4/2/2015 - Corporate Officers Dodd-Frank Retaliation Sarbanes-Oxley SEC Statute of Limitations Whistleblower Awards Whistleblowers

A Review of Recent Whistleblower Developments

SEC Whistleblower Office 2014 Annual Report Details Rising Number of Tips and Increasing Awards - On November 17, 2014, the U.S. Securities and Exchange Commission (SEC) Whistleblower Office issued its Fiscal Year 2014...more

1/7/2015 - Annual Reports Dodd-Frank Halliburton Orion Energy Popular Sarbanes-Oxley SEC Siemens TD Ameritrade Whistleblower Awards Whistleblowers

Knowledge of Benefit Required to Convict Insider Trading Tippees

In its important ruling on what the government must prove in a criminal insider trading prosecution, the Second Circuit reversed the convictions of two portfolio managers — throwing out their cases completely, with no new...more

12/15/2014 - Dell Hedge Funds Illegal Tipping Insider Trading Material Nonpublic Information Nvidia Personal Benefit Portfolio Managers Rule 10b-5 Securities Securities Fraud US v Newman

A Review of Recent Whistleblower Developments

On July 31, 2014, the SEC awarded $400,000 to a whistleblower who had reported internally before providing information to the SEC. The award was unique because the SEC’s Claims Review Staff had denied the whistleblower’s...more

10/3/2014 - Compliance Dodd-Frank Enforcement Enforcement Actions Retaliation Sarbanes-Oxley SEC Whistleblower Awards Whistleblower Protection Policies Whistleblowers

SEC's Enforcement Action Against Hedge Fund Adviser for Retaliation Against a Whistleblower Highlights Challenges Employers Face

After repeated warnings over the last few years that it had both the authority and willingness to do so, on June 16, 2014, the SEC brought its first enforcement action for retaliation against a whistleblower under the...more

6/18/2014 - Compliance Dodd-Frank Enforcement Enforcement Actions Hedge Funds Popular Retaliation SEC Whistleblowers

A Review of Recent Whistleblower Developments

In a ground-breaking decision, on March 4, 2014, the United States Supreme Court held in Lawson v. FMR LLC, 571 U.S. __ Case 12-3 (Mar. 4, 2014), that §1514A of the Sarbanes-Oxley Act of 2002 provides a right of action for...more

4/2/2014 - FMR LLC Lawson v FMR Sarbanes-Oxley SCOTUS Whistleblower Protection Policies Whistleblowers

SCOTUS Holds SOX Whistleblower Law Protects Employees of Private Contractors; Yet Full Scope Remains Unclear

On March 4, 2014, the United States Supreme Court held in Lawson v. FMR LLC, 571 U.S. __ , Case No. 12-3 (Mar. 4, 2014), that §806 of the Sarbanes-Oxley Act of 2002 (“SOX”) provides a cause of action for employees of private...more

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

Appeals Court Restricts Dodd-Frank Whistleblower Protections

In the first opinion on the subject by an appellate court, the U.S. Court of Appeals for the Fifth Circuit ruled in Asadi v. G.E. Energy (USA), LLC, No. 12-20522 (5th Cir. July 17, 2013), that Dodd-Frank’s protections against...more

7/19/2013 - Dodd-Frank Retaliation SEC Whistleblower Protection Policies Whistleblowers

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