Securities Civil Rights Civil Remedies

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SEC’s Limit on Retroactivity of Dodd-Frank Whistleblower Bounty Awards Is Reasonable, Second Circuit Holds

The Second Circuit Court of Appeals recently deferred to the SEC’s determination that a tipster who provided information to the Commission before July 21, 2010, the effective date of the Dodd-Frank Act, is not eligible to...more

Does Former Officer Have An Obligation To Turn Over Whistleblower Award?

Monday, the Securities and Exchange Commission announced “a whistleblower award payout between $475,000 and $575,000 to a former company officer who reported original, high-quality information about a securities fraud that...more

4th Circuit: 4 Year Statute Of Limitations Applies To SOX Claims

The Fourth Circuit recently held that SOX whistleblower retaliation claims are subject to a four-year statute of limitations and that emotional distress damages are available in SOX actions. Jones v. SouthPeak Interactive...more

SEC Reports FY 2014 as a Historic Year for Whistleblower Program

According to the annual report issued by the Securities and Exchange Commission (SEC), fiscal year 2014 was a "historic" one for the whistleblower program initiated pursuant to the 2010 Dodd-Frank Wall Street reform law. In...more

Revealing Whistleblower’s Identity is Retaliation

The United States Court of Appeals for the Fifth Circuit held that revealing a whistleblower’s identity is prohibited retaliation under the Sarbanes-Oxley Act in Halliburton, Inc. v. Administrative Review Board, United States...more

The High Cost of Whistleblowing

In a number of recent posts, we have highlighted the SEC’s whistleblower program, which offers awards of 10%-30% of the money collected where a whistleblower provides high-quality, original information that results in an SEC...more

SEC Puts Their Money Where Their Mouth Is: $30 Million Awarded to Whistleblower

On September 22, 2014, the SEC announced its largest whistleblower award to date under its Dodd-Frank whistleblower bounty program. It awarded $30-$35 million to an anonymous whistleblower who the Commission said provided...more

SEC Announces $30 Million-Plus Whistleblower Award

The SEC announced an expected award of more than $30 million to a foreign whistleblower who provided “key original information” that led to a successful enforcement action by the agency. The award will be the largest made by...more

What’s Happening with Whistleblowing?

This summer the SEC and the Wall Street Journal have reported several noteworthy items concerning the SEC’s whistleblower program, one of the most controversial components of the Dodd-Frank Act of 2010....more

SEC's Enforcement Action Against Hedge Fund Adviser for Retaliation Against a Whistleblower Highlights Challenges Employers Face

After repeated warnings over the last few years that it had both the authority and willingness to do so, on June 16, 2014, the SEC brought its first enforcement action for retaliation against a whistleblower under the...more

U.S. Commodity Futures Trading Commission Issues First Whistleblower Award

On Monday, May 19, 2014, the U.S. Commodity Futures Trading Commission (“CFTC”) issued its first award to a whistleblower under its Dodd-Frank bounty program. ...more

Whistleblower retaliation exposes Playboy to $6 million liability

A federal jury recently ordered Playboy Enterprises to pay $6 million to a former accounting executive who was wrongfully terminated in retaliation for blowing the whistle internally on what she perceived was improper...more

Court Holds Dodd-Frank Whistleblower Has No Right to Jury Trial

In an apparent case of first impression, a federal district judge in Atlanta has ruled that whistleblowers claiming retaliation under the Dodd-Frank Wall Street Financial Reform and Consumer Protection Act of 2010 are not...more

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

"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

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