Latest Posts › SEC


If You See Something, Say Something, But Maybe Only To The SEC

A debate has been raging in the courts over whether an employee who reports suspected misconduct only to his employer but not to the U.S. Securities and Exchange Commission (“SEC”) is a “whistleblower” entitled to the...more

6/19/2014 - Anti-Retaliation Provisions Dodd-Frank Popular Retaliation SEC Whistleblowers

The SEC's 2013 Whistleblower Report: Things Left Unsaid

Released late last week, the Securities and Exchange Commission’s 2013 Annual Report on the Dodd-Frank Whistleblower Program (the “Report”) revealed that the program has continued to grow in popularity. The Report, however,...more

11/20/2013 - Dodd-Frank SEC Whistleblower Protection Policies Whistleblowers

Employers Beware: Will The SEC Be A Safety Net For Terminated Whistleblowers?

Commentators, employers and especially whistleblowers have paid a tremendous amount of attention to the whistleblower bounty provisions of the Dodd-Frank Act. Much less attention has been paid to an SEC rule implementing the...more

10/2/2013 - Anti-Retaliation Provisions Dodd-Frank Enforcement Hiring & Firing Mary Jo White SEC Termination Whistleblower Protection Policies Whistleblowers

When is a "Whistleblower" Not Really a "Whistleblower"?

Question: When is a “whistleblower” not really a “whistleblower”? Answer: When an employee reports potential misconduct only to his or her employer and that employer happens to be located in the Fifth Circuit....more

8/7/2013 - Dodd-Frank Employer Liability Issues Sarbanes-Oxley SEC Whistleblower Protection Policies Whistleblowers Willful Misconduct

Is The Medium The Message? Netflix's Decision To Post Material Information On Social Media Channels

The news is out! There’s a buzz in the blogosphere. It’s trending on Twitter. The Securities and Exchange Commission has authorized the use of social media channels for the disclosure of material, non-public information. In a...more

4/17/2013 - Disclosure Requirements Enforcement Actions Material Nonpublic Information Netflix Regulation FD SEC Social Media

Whistleblowers: A Dilemma For The Defense

Originally published in Law360 on December 18, 2012. Without a doubt, the advent of the U.S. Securities and Exchange Commission’s whistleblower bounty program prompted a drastic increase in the number of individuals...more

3/18/2013 - Compliance Dodd-Frank Sanctions SEC Whistleblower Awards Whistleblowers

First Year Anniversary of the Dodd-Frank Whistleblower Program: Not Much More than Paper

The Securities Exchange Commission’s Annual Report on the Dodd-Frank Whistleblower Program for Fiscal Year 2012 (the “Report”), released yesterday, reveals a number of things. The SEC has received a lot of tips, complaints,...more

11/16/2012 - Dodd-Frank SEC Whistleblowers

7 Results
View per page
Page: of 1