Harris M. Mufson

Harris M. Mufson

Proskauer Rose LLP

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FINRA Again Cautions Against Confidentiality Provisions Silencing Whistleblowers

As reported this week by Law360 (subscription required), the Financial Industry Regulatory Authority (FINRA) recently issued a reminder (Regulatory Notice 14-40) warning firms against the use of confidentiality provisions in...more

10/20/2014 - Compliance Confidentiality Agreements Employer Liability Issues FINRA SEC Whistleblower Protection Policies Whistleblowers

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

FINRA Rule Amended: Whistleblower Claims Not Subject To Mandatory Arbitration

The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd Frank) amended the whistleblower provision in Section 806 of the Sarbanes-Oxley Act of 2002 (SOX) to state that pre-dispute arbitration agreements that...more

11/26/2012 - Arbitration Agreements FINRA Sarbanes-Oxley SEC Whistleblowers

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