Harris M. Mufson

Harris M. Mufson

Proskauer Rose LLP

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Tennessee District Court Limits Scope of Dodd-Frank Whistleblower Claim

The Eastern District of Tennessee recently dismissed whistleblower claims, finding that the Plaintiff was not entitled to protection under Sarbanes-Oxley, Dodd-Frank, or the False Claims Act (“FCA”). Verble v. Morgan Stanley...more

12/18/2015 - Dodd-Frank False Claims Act (FCA) Morgan Stanley Popular Retaliation Sarbanes-Oxley SEC Whistleblowers

OSHA Releases FY 2015 Stats Showing An Increase In Whistleblower Claims

According to figures recently released by OSHA, there has been a general increase in the number of whistleblower cases filed in fiscal year 2015 (FY 2015), in comparison to the number of cases filed in FY 2014.  Here are some...more

11/30/2015 - CFPA Dodd-Frank OSHA Popular Sarbanes-Oxley Whistleblowers

Highlights of SEC’s 2015 Annual Whistleblower Report

On November 16, 2015, the Securities and Exchange Commission’s Office of the Whistleblower (“OWB”) released its fifth Annual Report on the Dodd-Frank Whistleblower Program to Congress, which details information on OWB’s...more

11/19/2015 - Confidentiality Agreements Dodd-Frank Enforcement Actions SEC Whistleblower Awards Whistleblowers

California District Court Follows Asadi, Dismisses Dodd-Frank Whistleblower Claim

On September 8, 2015, the United States District Court for the Central District of California dismissed a whistleblower retaliation claim, ruling that Dodd-Frank’s anti-retaliation provision only protects whistleblowers who...more

9/24/2015 - Anti-Retaliation Provisions Dodd-Frank Internal Reporting SEC Split of Authority Whistleblower Protection Policies Whistleblowers Wrongful Termination

Second Circuit: Dodd-Frank Protects Internal Whistleblowers

On September 10, 2015, the Second Circuit issued its highly anticipated decision in Berman v. Neo@Ogilvy, ruling (in a 2-1 decision) that Dodd-Frank’s whistleblower protection provision applies to internal complaints (i.e.,...more

9/11/2015 - Accounting Fraud Ambiguous Anti-Retaliation Provisions Chevron Deference Dodd-Frank DOL Internal Reporting Retaliation Sarbanes-Oxley SEC Whistleblower Protection Policies Whistleblowers Wrongful Termination

New Jersey District Court: Dodd-Frank Protects Internal Whistleblower

Further reflecting the divide amongst courts regarding the definition of “whistleblower” under the Dodd-Frank Act, the District Court of New Jersey recently held that an employee who internally reports an alleged securities...more

8/27/2015 - Anti-Retaliation Provisions Dodd-Frank Internal Reporting SEC Whistleblower Protection Policies Whistleblowers Wrongful Termination

SEC Issues Interpretive Rule Regarding Definition of Dodd-Frank “Whistleblower”

In response to the disagreement amongst courts regarding the scope of Dodd-Frank’s employment retaliation protections, on August 4, 2015, the SEC issued an “interpretive rule” clarifying that individuals who have not reported...more

8/6/2015 - Anti-Retaliation Provisions Dodd-Frank Internal Reporting Interpretive Rule Investor Protection Sarbanes-Oxley SEC Whistleblower Awards Whistleblower Protection Policies Whistleblowers

SEC Pays More Than $3 Million Whistleblower Award

On July 17, 2015, the SEC announced a whistleblower award of more than $3 million to a “company insider” whose information assisted the SEC in unveiling a “complex fraud.” This payout (which is the SEC’s third largest)...more

7/24/2015 - Dodd-Frank SEC Securities Fraud Whistleblower Awards Whistleblowers

SEC’s Limit on Retroactivity of Dodd-Frank Whistleblower Bounty Awards Is Reasonable, Second Circuit Holds

The Second Circuit Court of Appeals recently deferred to the SEC’s determination that a tipster who provided information to the Commission before July 21, 2010, the effective date of the Dodd-Frank Act, is not eligible to...more

3/24/2015 - Dodd-Frank SEC Whistleblower Awards Whistleblowers

SEC Continues to Investigate Contractual Impediments to Whistleblower Complaints

As Rachel Louise Ensign reported earlier this week in the Wall Street Journal (subscription required), the Securities Exchange Commission (“SEC”) continues to probe obstacles to corporate employees blowing the whistle. This...more

3/2/2015 - Audits Confidentiality Agreements Dodd-Frank Non-Compete Agreements SEC Settlement Agreements Strategic Enforcement Plan Whistleblowers

Consumer Financial Product Whistleblower Complaints Up Dramatically, SOX Complaints (with OSHA) Down

Since the enactment of Dodd-Frank in 2010, the number of whistleblower complaints filed under the Consumer Financial Protection Act (“CFPA”) has risen significantly while the number of SOX complaints filed with OSHA has...more

1/7/2015 - CFPA Consumer Financial Products Dodd-Frank Financial Institutions OSHA Sarbanes-Oxley Whistleblower Protection Policies Whistleblowers

SDNY Follows Asadi: Internal Tipsters Not Dodd-Frank “Whistleblowers”

On December 5, 2014, the Southern District of New York in Berman v. Neo@Ogilvy, No. 14-cv-523, ruled that an employee who complains internally about securities law violations does not qualify as a “whistleblower” under the...more

12/29/2014 - Dodd-Frank Employer Liability Issues Internal Reporting SEC Whistleblower Protection Policies Whistleblowers

Highlights of SEC’s 2014 Annual Report

On November 17, 2014, the Securities and Exchange Commission’s Office of the Whistleblower (“OWB”) released its fourth Annual Report on the Dodd-Frank Whistleblower Program to Congress, which details information on OWB’s...more

11/20/2014 - Annual Reports Dodd-Frank SEC Whistleblower Awards Whistleblower Protection Policies

Court Follows 5th Circuit Asadi Decision, Dismisses Dodd-Frank Whistleblower Claim

The U.S. District Court for the Eastern District of Wisconsin in Verfuerth v. Orion Energy Systems, Inc., No. 14-cv-352 (E.D. Wis. Nov. 4, 2014) recently ruled that the Dodd-Frank whistleblower protection provision does not...more

11/12/2014 - Dodd-Frank Federal Rule 12(b)(6) Federal Rules of Civil Procedure SEC Whistleblower Protection Policies Whistleblowers

Third Circuit Sizes Up Dodd-Frank’s Anti-Arbitration Provision

On October 24, 2014, in Khazin v. TD Ameritrade Holding Corp, et al., the U.S. Court of Appeals for the Third Circuit heard oral argument on an issue of first impression (within that forum): whether Dodd-Frank applies...more

11/3/2014 - Appeals Arbitration Arbitration Agreements Commodities Exchange Act Dodd-Frank Oral Argument Retroactive Application Sarbanes-Oxley TD Ameritrade Whistleblowers

SDNY Dismisses Extraterritorial SOX and Dodd Frank Whistleblower Claims

Failing to heed a powerful message from the Second Circuit, overseas plaintiffs are continuing to seek to pursue SOX and Dodd-Frank whistleblower claims. On September 30, 2014, the Southern District of New York in Ulrich v....more

10/17/2014 - Anti-Retaliation Provisions Dismissals Dodd-Frank Extraterritoriality Rules Moody's Sarbanes-Oxley Whistleblowers

Second Circuit To Decide Retroactivity of Dodd-Frank Bounty Provision

As discussed in a Law360 article by Ed Beeson, the Second Circuit Court of Appeals will decide in Stryker v. SEC, No. 13-cv-4404, whether the SEC needs to pay Dodd-Frank whistleblower bounties to tipsters who provided...more

10/1/2014 - Appeals Dodd-Frank Retroactivity SEC Whistleblower Awards Whistleblowers

Larger Rewards For Wall Street Whistleblowers May Be On The Horizon

As reported by the Wall Street Journal, the Obama administration will seek to remove the $1.6 million cap on rewards to whistleblowers who provide evidence of criminal conduct by financial executives under the 1989 Financial...more

9/18/2014 - Compliance Dodd-Frank Enforcement Enforcement Actions FIRREA Popular SEC Whistleblower Awards Whistleblowers White Collar Crimes

Second Circuit Affirms No Extraterritorial Application For Dodd-Frank Anti-Retaliation Provision

In Liu v. Siemens A.G., No. 13-cv-4385, 2014 WL 3953672 (2d Cir. Aug. 14, 2014), the Second Circuit affirmed that the anti-retaliation provision in Section 922 of Dodd-Frank does not apply extraterritorially. This post...more

9/8/2014 - Anti-Rebate Statutes Chief Compliance Officers Dodd-Frank Employer Liability Issues Extraterritoriality Rules

SEC Brings First Dodd-Frank Anti-Retaliation Case

The SEC recently issued an Order against Paradigm Capital Management, Inc. (Paradigm), a registered investment adviser, and its principal for allegedly engaging in principal trades without effective client disclosure and...more

6/27/2014 - Dodd-Frank Enforcement Actions Retaliation SEC

Nebraska District Court: Employee’s Disclosures To FINRA Make Her A Dodd-Frank Whistleblower

In a first-impression decision, the U.S. District Court for the District of Nebraska recently ruled that an employee who disclosed information about potential securities law violations to FINRA may qualify as a...more

6/3/2014 - Adverse Employment Action Dodd-Frank FINRA Hiring & Firing Retaliation SEC Securities Whistleblowers

S.D.N.Y. Takes Broad Approach To SOX and Dodd-Frank Whistleblower Claims

The U.S. District Court for the Southern District of New York recently denied a motion to dismiss a plaintiff’s SOX and Dodd-Frank whistleblower claims, ruling that (i) the plaintiff engaged in SOX protected activity even...more

5/28/2014 - Dodd-Frank Sarbanes-Oxley Whistleblower Protection Policies Whistleblowers

OSHA Releases Interim Dodd-Frank Whistleblower Regulations

OSHA recently released the interim final text of regulations implementing the whistleblower protection provision (Section 1057) in Dodd-Frank. The interim final regulations establish the timing and processes for handling...more

4/14/2014 - Administrative Review Board ALJ Dodd-Frank DOL OSHA Retaliation Sarbanes-Oxley Whistleblower Protection Policies

First-Ever SEC Bounty Winner Receives Additional Payout

The SEC Office of the Whistleblower recently announced that the first-ever whistleblower award under the Dodd-Frank Whistleblower Program will be increased by $150,000 based on additional assets the SEC collected from one the...more

4/9/2014 - Dodd-Frank SEC Whistleblower Protection Policies Whistleblowers

N.J. Court Sends Dodd-Frank Whistleblower Claim To Arbitration

The U.S. District Court for the District of New Jersey recently held that the Dodd-Frank Act does not operate retroactively to bar pre-dispute arbitration agreements, and thus required a plaintiff to arbitrate his Dodd-Frank...more

3/21/2014 - Arbitration Dodd-Frank Whistleblowers

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