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Second Circuit Rejects Extraterritorial Application of Dodd-Frank’s Whistleblower Anti-Retaliation Provision

On August 14, the United States Court of Appeals for the Second Circuit became the first U.S. appellate court to weigh in on the extraterritorial application of the whistleblower provisions of the Dodd-Frank Wall Street...more

8/19/2014 - Anti-Retaliation Provisions Appeals Chief Compliance Officers Dodd-Frank Extraterritoriality Rules FCPA Sarbanes-Oxley Siemens Whistleblowers

SEC Launches First Whistleblower Retaliation Case Under Dodd-Frank

On June 16, 2014, the U.S. Securities and Exchange Commission (SEC) initiated and resolved its first case charging an employer with unlawfully retaliating against a securities whistleblower under the Dodd-Frank Wall Street...more

6/23/2014 - Anti-Retaliation Provisions Dodd-Frank Employer Liability Issues Enforcement Actions SEC Whistleblower Protection Enhancement Act Whistleblowers

SEC Issues $875,000 Whistleblower Award

On June 3, 2014, the Securities and Exchange Commission (SEC or Commission) issued a whistleblower award to two individuals who had provided information leading to a successful SEC enforcement action. The whistleblower...more

6/10/2014 - Dodd-Frank Enforcement Enforcement Actions SEC Whistleblower Awards Whistleblowers

Department of Labor Issues Interim Final Employee Whistleblower Rule Under the Consumer Financial Protection Act

On April 4, 2014, the Department of Labor (DOL) issued an Interim Final Rule establishing procedures concerning the manner in which the Occupational Safety and Health Administration (OSHA) will address employee whistleblower...more

4/9/2014 - CFPA CFPB DOL OSHA Whistleblower Protection Policies Whistleblowers

SEC’s Office of the Whistleblower Warns Companies and Inside Counsel Against Using Employment Incentives to Deter External...

During a recent panel discussion at the Georgetown University Law Center’s 18th Annual Corporate Counsel Institute, the head of the U.S. Securities and Exchange Commission’s Office of the Whistleblower, Sean McKessy, warned...more

3/20/2014 - Corporate Counsel SEC Whistleblower Protection Policies Whistleblowers

Supreme Court Expands SOX Whistleblower Protection to Employees of Private Contractors of Public Companies

In the first SOX whistleblower case to be heard by the U.S. Supreme Court, the Court held on March 4 that the Sarbanes-Oxley Act of 2002 (SOX) prohibits private contractors of publicly traded companies from retaliating...more

3/6/2014 - Contractors Fidelity Investments FMR LLC Lawson v FMR Retaliation Sarbanes-Oxley SCOTUS Whistleblower Protection Policies Whistleblowers

Federal Courts Take Divergent Approaches to Jury Trials for Whistleblower Plaintiffs Under Dodd-Frank and Sarbanes-Oxley

A recurring question under the federal whistleblower laws is whether plaintiffs suing their employers for retaliation have the right to a jury trial. The Dodd-Frank Wall Street Reform and Consumer Protection Act1 appears...more

1/10/2014 - Adverse Employment Action Consumer Protection Act Dodd-Frank Employer Liability Issues Financial Regulatory Reform Hiring & Firing Jury Trial Retaliation Sarbanes-Oxley SEC Securities Fraud Termination Whistleblower Protection Policies Whistleblowers

SEC Order Denying Whistleblower Claim Confirms Prospective Coverage and Limited Discovery in Dodd-Frank Bounty Proceedings

In a recent order denying a whistleblower’s award claim,1 the U.S. Securities and Exchange Commission upheld the prospective application and discovery limitations of two of its rules implementing the Dodd-Frank Wall Street...more

12/9/2013 - Discovery Dodd-Frank SEC Whistleblower Awards Whistleblowers

Fifth Circuit Creates Split on Scope of Retaliation Protection for "Whistleblowers" Under Dodd-Frank

Since the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act in 2010, a number of federal courts have grappled with the scope of the Act’s new protections for employee “whistleblowers.” Until recently,...more

8/7/2013 - Conflicts of Laws Dodd-Frank Retaliation Whistleblower Protection Policies Whistleblowers

Legal Alert: Southern District of New York Endorses Extension of Dodd-Frank's Retaliation Protections to Internal Whistleblowers

In Murray v. UBS Securities, LLC, a federal judge in the Southern District of New York recently held that Dodd-Frank’s whistleblower protections can extend to employees who do not qualify as statutory “whistleblowers.”...more

6/19/2013 - Dodd-Frank Reporting Requirements Retaliation SEC Whistleblowers

Legal Alert: Court Rejects Retroactivity of Dodd–Frank's Whistleblower Remedies

Since the 2010 enactment of the Dodd–Frank Wall Street Reform and Consumer Protection Act, a recurring question in judicial opinions interpreting the Act’s whistleblower provisions has been whether these provisions should be...more

4/18/2013 - Dodd-Frank Retroactive Application Sarbanes-Oxley Whistleblower Protection Policies Whistleblowers

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