John Fullerton

John Fullerton

Epstein Becker Green

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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 Financial Services Industry 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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