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Confidential Information › Dodd-Frank Wall Street Reform and Consumer Protection Act › Retaliation

Thomas Fox - Compliance Evangelist

Pre-Taliation Continues to Rear It’s Ugly Head

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DE Shaw, a prominent financial services firm, recently settled a retaliation case with the Securities and Exchange Commission (SEC) for a staggering $10 million. It was settled via an Administrative Order. This settlement...more

Kohn, Kohn & Colapinto LLP

DC Circuit Decision Upholds Whistleblower Confidentiality to Protect IRS Whistleblowers from Retaliatory FOIAs

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On July 19, the United States Court of Appeals for the District of Columbia Circuit issued a ruling in Montgomery v. Internal Revenue Serv., a case concerning the Internal Revenue Service’s (IRS) handling of Freedom of...more

Polsinelli

Summary Judgment Decision in Long-Running Erhart SOX Case Limits the Scope of Protected Activity Under SEC Books and Records and...

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On March 31, 2020, the U.S. District Court for the Southern District Court of California entered partial summary judgment in Erhart v. BofI Holding, Inc., a prominent, long-running whistleblower lawsuit under the...more

NAVEX

Why You Shouldn’t Relax on Pretaliation—Even if Policymakers Do

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About two years ago, the Securities and Exchange Commission (SEC) made history when it brought the first “pretaliation” whistleblower enforcement action against KBR Inc., a technology and engineering firm in Houston. The...more

Thomas Fox - Compliance Evangelist

Whistleblower Conference Agenda Sizzles with Hot Topics

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2016 was more than simply the most robust year in Foreign Corrupt Practices Act (FCPA) enforcement. It was also a record year in Securities and Exchange Commission (SEC) whistleblower awards and additionally the year the SEC...more

JAMS

Whistleblower Cases are Custom Tailored for ADR

JAMS on

Various state and federal statutes exist to protect and compensate employees whose employers retaliate against them after they disclose certain fraudulent practices to the employers or government agencies. These are known as...more

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