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Cheers to 50 Years of ERISA: A Major Milestone in Employee Protection

As the Employee Retirement Income Security Act (“ERISA”) celebrates its 50th anniversary, it offers us an opportunity to reflect on its transformative impact on employee benefits and retirement security. Signed into law on...more

Department of Justice Announces Groundbreaking Whistleblower Program in its Ongoing Effort to Incentivize Voluntary Self...

Department of Justice (DOJ) Deputy Attorney General Lisa Monaco announced that the DOJ is adopting a whistleblower incentive program today at the American Bar Association’s 39th National Institute on White Collar Crime. In...more

The Department of Justice Offers Individual Corporate Wrongdoers a “Get Out of Jail Free Card” in New Voluntary Self-Disclosure...

The Department of Justice’s Criminal Division (DOJ) recently announced a Pilot Program on Voluntary Self-Disclosures for Individuals (the Individual VSD Pilot Program or Pilot Program), which allows certain individuals...more

United States Attorney’s Offices Announce Innovative Voluntary Self-Disclosure Programs for Individuals

Last year, on February 22, 2023, the Department of Justice (DOJ) announced a corporate Voluntary Self-Disclosure (VSD) policy, which is applicable to all U.S. Attorney’s Offices, setting nationwide incentives for voluntary...more

IRS Delays Roth Catch-Up Contribution Requirement

On August 25, 2023, the IRS issued Notice 2023-62, which gives retirement plan sponsors a two-year administrative transition period to implement the SECURE 2.0 requirement that certain catch-up contributions to 401(k) and...more

Tenth Circuit Allows ERISA Arbitration, So Long As There are No Limitations in Remedies

On February 9, 2023, the U.S. Court of Appeals for the Tenth Circuit refused to enforce an arbitration clause contained in an employee stock ownership plan (“ESOP”) document. In a 41-page opinion, the Court held that the ESOP...more

Second Time Around: Seventh Circuit Given First Opportunity to Analyze the Duty of Prudence Post Hughes

On August 29, 2022, the U.S. Court of Appeals for the Seventh Circuit affirmed the dismissal of a 401(k) plan participant’s claims that plan fiduciaries mismanaged the $1.1 billion 401(k) plan and charged participants...more

Federal Court Rejects Request for “Mootness Fee” in Merger Litigation

A federal court in New York recently dealt a blow to the common litigation practice of plaintiff’s counsel requesting a “mootness fee” when challenging disclosures made by public companies in mergers and other large...more

How Much Information Must a Shareholder Provide to a Corporation to Inspect Books and Records Under Section 220?

The Supreme Court of Delaware recently affirmed a decision by the Court of Chancery that ordered a corporation to produce certain books and records to a shareholder, and which granted leave to the shareholder to take a...more

Delaware Court of Chancery Permits Caremark Claim Alleging Directors’ Failure to Monitor Critical Company Business Operations

On October 1, 2019, the Delaware Court of Chancery issued its decision in In re Clovis Oncology, Inc. Derivative Litigation, C.A. No. 2017-0222-JRS (Del. Ch. Oct. 1, 2019), which addresses the duties of directors to oversee...more

U.S. Supreme Court Expands Scope of SEC’s Anti-Fraud Rule in “Copy-Paste” Case

On March 27, 2019, the U.S. Supreme Court issued its decision in Lorenzo v. Securities and Exchange Commission, Case No. 17-1077 (U.S. Mar. 27, 2019) that broadened the group of persons who could face primary liability for...more

The SEC’s Annual Report on the Dodd-Frank Whistleblower Program Shows Increased Activity

On November 15, 2016, the Securities and Exchange Commission (SEC) released its Annual Report on the Dodd-Frank Whistleblower Program. The Whistleblower Program was established by Section 21F of the Dodd-Frank Act, which...more

U.S. Supreme Court Expands Whistleblower Protections for Employees of Private Companies

In an opinion issued on March 4, 2014, the U.S. Supreme Court extended the whistleblower protections of the Sarbanes-Oxley Act to employees of private companies that do business with public companies, such as investment...more

The Sell Decision: Aiding, Abetting Liability Not Added

In Sell v. Gama, the Arizona Supreme Court held that the Arizona Securities Act (the “ASA”) does not authorize a secondary liability claim for aiding and abetting another’s primary securities fraud. In so holding, the...more

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