Civil Remedies, Labor & Employment Law, Securities Law

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

by Thomas Bundy, III, Cynthia M. Krus, Allegra Lawrence-Hardy, Lee Peifer, Holly H. Smith, Lewis Wiener | Sutherland Asbill & Brennan LLP on 4/18/2013

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

Retaliation and Whistleblower Claims by In-House Counsel

by Jeanne Barber, Edward Ellis, Linda Jackson, Earl (Chip) M. Jones III, Gregory Keating, Allan King, Patricia Martin, Amy Mendenhall, Roberta Ruiz | Littler on 4/1/2013

In This Issue: - Whistleblower protections and in-House Counsel - Sarbanes-oxley - The Dodd-Frank Act - The False Claims Act - Common Law Wrongful Discharge Claims - The Ethical...more

THE SARBANES-OXLEY ACT OF 2002 Section 806 -- Protection for Employees of Publicly Traded Companies Who Provide Evidence of Fraud

by Barry Fagan on 3/8/2013

"Whistleblower Protection for Employees of Publicly Traded Companies.--No company with a class of securities registered under section 12 of the Securities Exchange Act of 1934 (15 U.S.C. 78l), or that is required to file...more

SEC Enforcement Update - The SEC Speaks in 2013

by King & Spalding on 3/5/2013

The U.S. Securities and Exchange Commission held its annual SEC Speaks program in Washington, D.C. on February 22-23, 2013. In the postfinancial crisis, post-Dodd-Frank world, it is clear that the Commission and its staff are...more

Proxy Season Brings a Third Wave of “Gotcha” Shareholder Litigation

by Ana N. Damonte, Sarah A. Good, Cindy V. Schlaefer | Pillsbury Winthrop Shaw Pittman LLP on 2/22/2013

Proxy season is upon us and the plaintiffs’ bar is demonstrating its resourcefulness by bringing a third wave of shareholder litigation. This new wave, which has not crested yet, consists of a return to derivative shareholder...more

A Month in UK Employment Law - January 2013

by Peta-Anne Barrow, Daniel Ornstein, Jennifer Wheater | Proskauer Rose LLP on 1/16/2013

In This Issue: - 2013 – What's On the Horizon - Changes Confirmed - Changes Expected In 2013 But No Implementation Date ...more

SEC Releases First Full-Year Report on the Dodd-Frank Whistleblower Program: No Speedy Recoveries for Whistleblowers

by Orrick - Global Employment Law Group on 11/16/2012

On November 15, 2012, the Securities and Exchange Commission released its Fiscal Year 2012 Annual Report on the Dodd-Frank Whistleblower Program (the “Report”), the first full-year report issued since the enactment of...more

SEC Releases First Full-Year Report on the Dodd-Frank Whistleblower Program: No Speedy Recoveries for Whistleblowers

by Rachel Coe, Mike Delikat | Orrick, Herrington & Sutcliffe LLP on 11/16/2012

On November 15, 2012, the Securities and Exchange Commission released its Fiscal Year 2012 Annual Report on the Dodd-Frank Whistleblower Program (the “Report”), the first full-year report issued since the enactment of...more

Orrick Submits Amicus Brief on Behalf of SIFMA Urging Fifth Circuit to Reject Two-Step FLSA Certification Procedure

by Trish Higgins, Mark R. Thompson | Orrick - Structured Finance Group on 11/15/2012

Orrick, on behalf of its client, the Securities Industry and Financial Markets Association (“SIFMA”), recently filed an amicus brief in support of a petition for writ of mandamus filed by Wells Fargo in the Fifth Circuit...more

Corporate and Financial Weekly Digest - November 9, 2012

by Katten Muchin Rosenman LLP on 11/12/2012

In this issue: - SEC to Extend Filing Deadlines for Filers Affected by Hurricane Sandy - NFA Launches FCM Financial Information Platform - FINRA Amends Rules Relating to Research Analysts and Research...more

A New Whistleblower Retaliation Statute Grows Up: Dodd-Frank is the new Sarbanes-Oxley.

by Pullman & Comley, LLC on 10/10/2012

Reading the headline, I’m sure a few of you rolled your eyes. Dodd-Frank? Sarbanes-Oxley? Those statutes are seen as dull and tedious. But a new federal court decision in Connecticut should start to change that, and it has...more

How to Leverage SEC Whistleblower Rules: Seven Steps to Incentivizing Internal Reporting

by BuckleySandler LLP on 8/1/2012

The SEC whistleblower program, implemented under Section 922 of the Dodd-Frank Act, is primarily intended to reward individuals who act early to expose violations and who provide significant evidence that helps the SEC bring...more

Lessons Learned for the SEC from the False Claims Act and Whistleblowers

by Michael Volkov on 7/24/2012

If you want to see how the SEC’s whistleblower program may look in a few years, all you need to do is take a look at the False Claims Act and the role that whistleblowers play in the enforcement of the...more

ESOP LEGAL NEWS - April 2012 • Volume 1, Number 2

by Dickinson Wright on 4/20/2012

INSIDE THIS ISSUE: The ESOP Association submits comments on corporate tax reform to House committee; ESOP champion Olympia Snowe not running for reelection; Pro-ESOP legislation garners support; Bear Stearns agrees to...more

Corporate Spending Post-Citizens United Decision Comes under Attack

by Morgan Lewis on 4/10/2012

The Supreme Court decision in Citizens United v. Federal Election Commission, 558 U.S. —, 130 S.Ct. 876 (2010), lifted long-standing limits on corporate and labor union political spending. Prior to Citizens United, federal...more

First Circuit Holds That Section 806 of the Sarbanes-Oxley Act Extends Only to Employees of Public Companies, Not Employees of...

by Sheppard Mullin Richter & Hampton LLP on 2/16/2012

In Lawson v. FMR LLC, No. 10-2240, 2012 U.S. App. LEXIS 2085 (1st Cir. Feb. 3, 2012), the United States Court of Appeals for the First Circuit, in a case of first impression, held that the whistleblower provision in...more

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Civil Remedies › Labor & Employment Law › Securities Law

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

Retaliation and Whistleblower Claims by In-House Counsel

THE SARBANES-OXLEY ACT OF 2002 Section 806 -- Protection for Employees of Publicly Traded Companies Who Provide Evidence of Fraud

SEC Enforcement Update - The SEC Speaks in 2013

Proxy Season Brings a Third Wave of “Gotcha” Shareholder Litigation

A Month in UK Employment Law - January 2013

SEC Releases First Full-Year Report on the Dodd-Frank Whistleblower Program: No Speedy Recoveries for Whistleblowers

SEC Releases First Full-Year Report on the Dodd-Frank Whistleblower Program: No Speedy Recoveries for Whistleblowers

Orrick Submits Amicus Brief on Behalf of SIFMA Urging Fifth Circuit to Reject Two-Step FLSA Certification Procedure

Corporate and Financial Weekly Digest - November 9, 2012

A New Whistleblower Retaliation Statute Grows Up: Dodd-Frank is the new Sarbanes-Oxley.

How to Leverage SEC Whistleblower Rules: Seven Steps to Incentivizing Internal Reporting

Lessons Learned for the SEC from the False Claims Act and Whistleblowers

ESOP LEGAL NEWS - April 2012 • Volume 1, Number 2

Corporate Spending Post-Citizens United Decision Comes under Attack

First Circuit Holds That Section 806 of the Sarbanes-Oxley Act Extends Only to Employees of Public Companies, Not Employees of...

Corporate and Financial Weekly Digest – January 27, 2012

Using the Internet to Your Company's Advantage in Defending Against A Whistleblower Action

Ninth Circuit Holds that SOX Whistleblower Provisions Do Not Protect Leaks to the Media

Whistleblower Risks Just Increased: What To Watch For

Second Circuit to Consider Employer's Discretion in Connection with LTIP

Ninth Circuit Adopts Moench Presumption in Favor of Fiduciaries

The IRS Whistleblower Program: Updated Summary for Lawyers with Potential Tax Whistleblower Claims

Legal Alert: Supreme Court Permits Plan Participants to Sue for Fiduciary Breach

Supreme Court Addresses the Remedies Available for Fiduciary Breach Under ERISA

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