John Fullerton

John Fullerton

Epstein Becker & Green

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Latest Publications


SEC Finds Certain Separation Agreement Provisions Unlawful Under Dodd-Frank Whistleblower Rule

Twice in the past two weeks, the Securities and Exchange Commission (“SEC” or “Commission”) issued a cease-and-desist order settling proceedings against companies for using confidentiality and waiver of claims provisions in...more

8/19/2016 - Cease and Desist Orders Class Action Arbitration Waivers Dodd-Frank Employer Liability Issues Health Net Rule 21F SEC Settlement Severance Agreements Strategic Enforcement Plan

Five Employment Law Compliance Topics of Interest to Financial Services Industry Employers

Employers in the financial services industry are faced with an escalating number of employment law compliance challenges, but the news is not all bad. For example, although pleading standards for Sarbanes-Oxley Act (“SOX”)...more

3/1/2016 - Corporate Counsel Cybersecurity DOL Employer Liability Issues Executive Compensation Financial Services Industry OFCCP Popular Sarbanes-Oxley SEC SEC Examination Priorities Wage and Hour Whistleblowers

OSHA’s New Whistleblower Investigations Manual Lowers Pleading Standards

The Occupational Safety and Health Administration (“OSHA”) just changed the way that it evaluates whistleblower retaliation complaints in a manner that should concern employers in nearly every industry. This is important...more

2/23/2016 - Affordable Care Act Clean Air Act Corporate Counsel OSHA Pleading Standards Popular Retaliation Sarbanes-Oxley Whistleblower Protection Policies

Whistleblowers Under Sarbanes-Oxley and Dodd-Frank: John Fullerton on Employment Law This Week [Video]

Employment Law This Week (November 23, 2015) has released bonus footage of its interview with John F. Fullerton III, a Member of the Firm at Epstein Becker Green. As Mr. Fullerton discusses, there is no clarity ahead over...more

11/30/2015 - Popular

SEC Enforcement Gives Employers a Strong Incentive to Clarify That Their Confidentiality Agreements Do Not Preclude Reporting...

The Securities and Exchange Commission? (“SEC”) has resolved its first enforcement action regarding a potentially overreaching confidentiality agreement following the “voluntary” revision of the agreement to state that it...more

4/24/2015 - Confidentiality Agreements Enforcement Actions Internal Investigations KBR (formerly Kellogg Brown & Root) Rule 21F SEC Whistleblower Protection Policies Whistleblowers

Five Key Issues Confronting Financial Services Industry Employers

Employers in the financial services industry are faced with a growing number of employment law challenges. Whistleblower complaints are on the rise as regulatory agencies become more aggressive in their efforts to encourage...more

4/17/2015 - Arbitration Confidentiality Agreements Employer Liability Issues Enforcement Actions Final Rules Financial Institutions FINRA Internal Audit Functions Internal Investigations KBR (formerly Kellogg Brown & Root) L-1A OSHA Retaliation Sarbanes-Oxley SEC Visas Whistleblower Protection Policies Whistleblowers

Act Now Advisory: As Defendant, Obama Administration Takes Narrower View of Whistleblower Protections Than as Enforcer - Will This...

Employers attempting to manage corporate compliance programs while balancing privacy concerns and whistleblower protections might find a certain irony, perhaps empathy, in the Obama administration's recent petition for U.S....more

3/7/2014 - CFTC Confidentiality Agreements Dodd-Frank Lawson v FMR NTSA Retaliation Sarbanes-Oxley SCOTUS SEC Separation Agreement Training Transportation Security Administration Whistleblower Protection Policies

Take 5 Newsletter: Five Hot Topics for Financial Services Industry Employers

The economy may be improving, but challenges remain for employers in the financial services industry. From ever-increasing whistleblower claims to new diversity and inclusion regulations and recent IRS determinations...more

1/20/2014 - CFTC Compliance Dodd-Frank Employee Rights IRS Retaliation Sarbanes-Oxley Whistleblowers

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