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Dodd-Frank Wall Street Reform and Consumer Protection Act › Termination

The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and... more +
The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and includes broad reforms related to many aspects of the financial and banking industry. Notable sections of the Act include stricter regulations of the derivatives market, as well as the Volcker Rule, which restricts the trading practices of FDIC-insured institutions.    less -
Sherman & Howard L.L.C.

The SEC Blows the Whistle on Improper Confidentiality Provisions

Sherman & Howard L.L.C. on

On Friday, September 29, 2023, the Securities and Exchange Commission (“SEC”) issued a cease and desist and $10 million civil money penalty against D.E. Shaw & Co, L.P. (“DESCO”). DESCO is a registered investment advisor...more

Proskauer - Whistleblower Defense

Federal Court Allows SOX Whistleblower Claim To Proceed But Dismisses Dodd-Frank Claim

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On October 2, 2018, the U.S. District Court for the Western District of Pennsylvania federal court denied a Rule 12(b)(6) motion to dismiss a SOX whistleblower retaliation claim, reasoning that Plaintiff sufficiently alleged...more

BakerHostetler

Supreme Court's Upcoming Whistleblower Decision May Dramatically Impact Compliance Programs

BakerHostetler on

On November 28, 2017, the United States Supreme Court heard oral argument on whether whistleblowers are entitled to protection from retaliation under Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection...more

Proskauer - Whistleblower Defense

E.D. Pennsylvania Limits Protected Activity Under SOX

Proskauer - Whistleblower Defense on

In Westawski v. Merck & Co., No. 14-cv-3239 (E.D. Pa. Oct. 18, 2016), the Eastern District of Pennsylvania granted Defendant Merck & Co. (Company) summary judgment on Plaintiff Joni Westawski’s (Plaintiff) SOX whistleblower...more

Proskauer - Whistleblower Defense

SDNY Refuses to Dismiss Executive’s Dodd-Frank Retaliation Claim

Proskauer - Whistleblower Defense on

On August 24, 2016, the Southern District of New York denied Defendants’ motion to dismiss a Dodd-Frank whistleblower retaliation claim brought by its former co-CEO and Executive Chairman of its Board of Directors, finding...more

Proskauer - Whistleblower Defense

SEC Penalizes Company For Severance Language Purportedly Impeding Complaints

Proskauer - Whistleblower Defense on

On August 10, 2016, the SEC announced that BlueLinx Holdings Inc. (Company) is settling charges that it violated Rule 21F-17 by requiring outgoing employees to waive whistleblower bounty awards in connection with severance...more

Proskauer - Whistleblower Defense

Eighth Circuit Deals Significant Blow To SOX And Dodd-Frank Whistleblowers

Proskauer - Whistleblower Defense on

On June 6, 2016, the Eighth Circuit affirmed the Minnesota District Court’s grant of summary judgment on SOX and Dodd-Frank whistleblower retaliation claims based on the plaintiff’s failure to establish a reasonable belief...more

Proskauer - Whistleblower Defense

SEC Intervenes In Former In-House Attorney’s Whistleblower Lawsuit

Proskauer - Whistleblower Defense on

On March 28, 2016, the U.S. Securities and Exchange Commission (“SEC”) filed an amicus brief in a whistleblower lawsuit brought by a former in-house attorney against Vanguard Group (the “Company”).  The case is Danon v....more

Proskauer - Whistleblowing & Retaliation

S.D.N.Y Dismisses Former Employee’s SOX and Dodd-Frank Whistleblower Claims

Proskauer - Whistleblowing & Retaliation on

The U.S. District Court for the Southern District of New York recently granted a motion for summary judgment dismissing a plaintiff’s SOX and Dodd-Frank whistleblower claims. The court ruled that the plaintiff failed to...more

Proskauer - Whistleblowing & Retaliation

N.D. Cal.: Internal Whistleblowers Are Protected and May Sue Individual Directors

Proskauer - Whistleblowing & Retaliation on

On October 23, 2015, the U.S. District Court for the Northern District of California largely denied a motion to dismiss a whistleblower retaliation claim brought by a company’s former general counsel, ruling that: (I) the SOX...more

Manatt, Phelps & Phillips, LLP

Corporate Investigations & White Collar Defense - October 2015

Manatt, Phelps & Phillips, LLP on

"Wherefore Art Thou Due Process?" Part III - Why it matters: It is time for another installment in our continuing "Wherefore Art Thou Due Process?" coverage into the ongoing constitutional challenges to the SEC's...more

Foley & Lardner LLP

A Review of Recent Whistleblower Developments

Foley & Lardner LLP on

Second Circuit Splits from Fifth Circuit on Whistleblower SEC Reporting Obligations On September 10, 2015, the Second Circuit in Berman v. Neo@Ogilvy LLC, 2015 U.S. App. LEXIS 16071 (2d Cir. 2015), ruled that...more

Stinson - Corporate & Securities Law Blog

Three Dodd-Frank Whistleblower Anti-Retaliation Claims Fail

Stinson - Corporate & Securities Law Blog on

Courts recently issued three opinions on the whistleblower anti-retaliation provisions of the Dodd-Frank Act. In Murray v. UBS Securities, LLC, Mr. Murray claimed he was terminated because he refused to skew his...more

Littler

When Does an Anti-Arbitration Provision Not Prohibit Arbitration of a Dodd-Frank Whistleblower Claim?

Littler on

The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted on July 21, 2010, provides broad whistleblower protections to individuals who report certain possible violations of federal securities laws. Mindful that...more

Proskauer - Government Contractor Compliance...

Federal Court in District of Columbia Dismisses Whistleblower Claims of Former Fannie Mae Employee

Proskauer - Government Contractor Compliance... on

On August 25, 2014, the District Court for the District of Columbia dismissed a claim brought by a former employee of Fannie Mae alleging violations of the anti-retaliation provisions of the Sarbanes-Oxley Act and the...more

Stoel Rives LLP

Washington Court of Appeals Expands "Jeopardy" Element of Claim for Wrongful Discharge in Violation of Public Policy

Stoel Rives LLP on

This month the Washington State Court of Appeals, Division III issued a ruling in Becker v. Community Health Systems, Inc. that expands protections in a wrongful termination action based on violation of a public policy....more

Eversheds Sutherland (US) LLP

Federal Courts Take Divergent Approaches to Jury Trials for Whistleblower Plaintiffs Under Dodd-Frank and Sarbanes-Oxley

Eversheds Sutherland (US) LLP on

A recurring question under the federal whistleblower laws is whether plaintiffs suing their employers for retaliation have the right to a jury trial. The Dodd-Frank Wall Street Reform and Consumer Protection Act1 appears...more

Proskauer - Whistleblower Defense

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

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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

Littler

Retaliation and Whistleblower Claims by In-House Counsel

Littler on

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

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