Lawrence West

Lawrence West

Latham & Watkins LLP

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Securities and Exchange Commission: Critical Issues Facing Public Companies

Latham & Watkins partners William Baker, Alexander Cohen, Joel Trotter and Lawrence West hosted a webcast “Securities and Exchange Commission: Critical Issues Facing Public Companies.” Topics discussed included the increasing...more

4/2/2015

SEC Sends Message Via Enforcement Action: Don’t Stifle Employee Whistleblowing

US public companies and SEC regulated entities should re-examine their forms and policies. On April 1, 2015, the US Securities and Exchange Commission filed its first whistleblower protection case involving...more

4/2/2015 - Confidentiality Agreements Construction Industry Enforcement Actions Internal Investigations Kellogg Brown & Root SEC Whistleblower Protection Policies

Investment Adviser Charged For Demoting Whistleblower in SEC’s First Anti-Retaliation Case

Investment adviser and its owner settle SEC enforcement action for nearly US$2.2 million. On June 16, 2014, the US Securities and Exchange Commission issued a cease and desist order and assessed a US$300,000 civil...more

6/20/2014 - Anti-Retaliation Provisions Enforcement Actions Popular Retaliation SEC Whistleblowers

Will Award-Seeking Whistleblower Lawyers Be Caught Between Conflicting SEC and State Ethics Rules?

Lawyers blowing the whistle on issuer clients might be “rewarded” with state bar investigations for possible breaches of their duty of confidentiality. Introduction - Every issuer of securities is a repository...more

10/21/2013 - Legal Ethics SEC Whistleblower Awards Whistleblowers

SEC Issues First Large Award in Whistleblower Program

$14 million awarded to unidentified whistleblower in unidentified enforcement action. On October 1, 2013, the US Securities and Exchange Commission announced that it expects to pay more than $14 million to a...more

10/4/2013 - Dodd-Frank Enforcement SEC Whistleblower Awards Whistleblowers

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