Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. ...more
4/21/2017
/ Anti-Retaliation Provisions ,
Appeals ,
Denial of Certiorari ,
Dismissals ,
Dodd-Frank ,
False Claims Act (FCA) ,
Federal Contractors ,
Financial Industry Regulatory Authority (FINRA) ,
Hiring & Firing ,
Investment Adviser ,
Job Duties ,
Reporting Requirements ,
Retaliation ,
Reversal ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Sexual Orientation Discrimination ,
Split of Authority ,
Supervisors ,
Whistleblowers ,
Wrongful Termination
According to a memo circulating amongst Republican-party leaders as of February 13th, Republicans in the House of Representatives are planning to propose a significant curtailment of the U.S. Securities and Exchange...more
2/26/2017
/ Anti-Retaliation Provisions ,
Civil Monetary Penalty ,
Conspiracies ,
Consumer Financial Protection Bureau (CFPB) ,
Dodd-Frank ,
Enforcement Actions ,
False Claims Act (FCA) ,
Financial Services Industry ,
Foreign Corrupt Practices Act (FCPA) ,
Legislative Agendas ,
Morgan Stanley ,
OSHA ,
Popular ,
Retaliation ,
Rollbacks ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Separation Agreement ,
Waiver of Rights ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
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) ,
Financial Industry Regulatory Authority (FINRA) ,
Internal Investigations ,
IRS ,
Retaliation ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Tax Court ,
Upjohn Warnings ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers ,
Wrongful Termination