Steven J. Pearlman on SEC

District of Colorado Expansively Construes Protected Activity Under Dodd-Frank, But Finds No Causation

The U.S. District Court for the District of Colorado followed a trend of decisions concluding that a plaintiff need not have provided the SEC with information regarding alleged federal securities law violations to pursue a...more

4/5/2013 - Dodd-Frank Hiring & Firing Protected Activity Retaliation SEC Termination Whistleblowers

Third Circuit Lowers Bar For Determining Whether Internal Complaint Is SOX Protected Activity

In Wiest v. Lynch, No. 11-cv-4257, 2013 U.S. App. LEXIS 5345 (3d Cir. March 19, 2013), the Third Circuit gave Chevron deference to U.S. Department of Labor Administrative Review Board’s (ARB) interpretation of “protected...more

3/26/2013 - DOL Protected Activity Sarbanes-Oxley SEC Split of Authority Whistleblowers

SEC Inadvertently Produces Whistleblower Complaint, But Then Obtains Protective Relief

During discovery in an SEC administrative and cease-and-desist proceeding instituted in December 2012 (pursuant to Sections 9(b) and 9(f) of the Investment Company Act of 1940)[1] the SEC Division of Enforcement (DOE)...more

3/11/2013 - Attorney-Client Privilege Discovery SEC Whistleblowers

District Court Widens Split On Whether Complaints Of Alleged Future Misconduct Are Protected

The U.S. District Court for the Central District of California ruled that a SOX whistleblower complaint survived a Rule 12(b)(6) challenge on “reasonable belief” grounds and found that complaints of potential future...more

2/18/2013 - Board of Directors Corporate Bonuses Federal Rule 12(b)6) Fraud Internal Controls Playboy Potential Future Violations Retaliation Sarbanes-Oxley SEC Split of Authority Termination Whistleblowers

OIG Report On SEC Whistleblower Program: Praise, Suggestions & Conclusion That Private Right Of Action Would Be Premature

On January 18, 2013, the Securities and Exchange Commission’s (SEC) Office of Inspector General (OIG) released its report titled Evaluation of the SEC’s Whistleblower Program. The report presented a largely positive review of...more

2/6/2013 - OIG Private Right of Action SEC Whistleblower Protection Policies Whistleblowers

A Clear Illustration of How HR & Employment Law Best Practices Intersect With Compliance

On November 14, 2012, the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) jointly issued a guide to the Foreign Corrupt Practices Act (FCPA) titled: A Resource Guide to the U.S. Foreign Corrupt...more

11/29/2012 - Compliance DOJ FCPA FCPA Resource Guide SEC Whistleblowers

FINRA Rule Amended: Whistleblower Claims Not Subject To Mandatory Arbitration

The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd Frank) amended the whistleblower provision in Section 806 of the Sarbanes-Oxley Act of 2002 (SOX) to state that pre-dispute arbitration agreements that...more

11/26/2012 - Arbitration Agreements FINRA Sarbanes-Oxley SEC Whistleblowers

SEC Annual Report: Thousands of Tips, One Award & Minimal Transparency

In its Annual Report on the Dodd-Frank Whistleblower Program (Report), the SEC has revealed that it has received 3,001 tips during its 2012 fiscal year (the first year of this program), and it paid out its first award to a...more

11/21/2012 - Dodd-Frank Fraud Sanctions SEC Transparency Whistleblowers

The Fight Isn’t Over: Employers Should Keep Battling The Definition of “Whistleblower” Under Dodd-Frank

The “Securities Whistleblower Incentives and Protection” section of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“DFA”) is an integrated scheme designed to encourage individuals to complain to the...more

11/19/2012 - Dodd-Frank Retaliation Sarbanes-Oxley SEC Securities Whistleblowers

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Steven J. Pearlman

Proskauer Rose LLP

Latest Posts › SEC