Recent Decisions Provide Guidance with Respect to the Application and Scope of Anti-Retaliation Provision of Dodd-Frank


Among the key provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, Pub. L. No. 111-203, 124 Stat. 1376 (2010) (“Dodd-Frank”) is the inclusion of incentives and protection for whistleblowers. Two recent federal court decisions provide important guidance with respect to the scope and application of the “antiretaliation” provision of Dodd-Frank.

Section 78u-6(h)(1)(A) of Dodd-Frank prohibits employers from retaliating against a “whistleblower” for: (i) providing information to the Securities and Exchange Commission (“SEC”);

(ii) initiating, testifying in, or assisting in any investigation or judicial or administrative action of the SEC based upon or related to such information; or...

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