News & Analysis as of

Dodd-Frank Wall Street Reform and Consumer Protection Act Whistleblowers Attorney-Client Privilege

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 -
Troutman Pepper

Top 10 Tips for Drafting Whistleblower Compliant Arrangements

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Background - Under Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, Congress expanded protections for whistleblowers reporting possible violations of federal securities laws to the...more

King & Spalding

US/UK Investigations Comparative Note

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King & Spalding’s April Client Alert provided an overview of and practical advice related to issues that an employer should consider before conducting an internal investigation in the United Kingdom: privilege, privacy,...more

Locke Lord LLP

Internal Investigations: The Three C’s – Confidence. Credibility. Cost. May 2019

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Boards of Directors and management at companies of all sizes face a common problem: they need to make decisions that are best for the company and in order to do so they need to know the facts — the pleasant and the unpleasant...more

Proskauer - Whistleblower Defense

Ninth Circuit Affirms Most of Jury Verdict in Former GC’s SOX Whistleblower Lawsuit

On February 26, 2019, the Ninth Circuit affirmed much of a jury’s approximately $11M verdict finding that a former general counsel was discharged in retaliation for reporting alleged Foreign Corrupt Practices Act (“FCPA”)...more

Locke Lord LLP

Internal Investigations: The Three C’s – Confidence. Credibility. Cost.

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Boards of Directors and management at companies of all sizes face a common problem: they need to make decisions that are best for the company and in order to do so they need to know the facts — the pleasant and the unpleasant...more

Locke Lord LLP

Internal Investigations: The Three C’s – Confidence. Credibility. Cost.

Locke Lord LLP on

Boards of Directors and management at companies of all sizes face a common problem: they need to make decisions that are best for the company and in order to do so they need to know the facts — the pleasant and the unpleasant...more

Farella Braun + Martel LLP

Battling Government Investigations Series – Cooperation and Voluntary Disclosure

It always comes when you least expect it – a government inquiry to investigate your business. While it may instill a sense of panic, there are steps you can take to make sure you’re in the best position possible when the...more

Proskauer - Whistleblower Defense

California Federal Court Upholds $8 Million Jury Verdict In Former General Counsel’s Whistleblower Lawsuit

Recently, a California federal court denied the defendant–employer’s motion for a new trial, upholding the jury’s $7.96 million verdict finding that the Company terminated its former general counsel for reporting alleged...more

Seyfarth Shaw LLP

Federal Whistleblower Laws Collide With The Attorney-Client Privilege: The Bio-Rad Case Study

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Seyfarth Synopsis: Federal whistleblower laws collide with the in-house attorney-client privilege. The trial round goes to the whistleblower. The expected appellate round has still not been fought. In a February 7,...more

Proskauer - Corporate Defense and Disputes

Key Takeaways from SEC/DOJ Enforcement Panel

Last week, representatives of the U.S. Securities and Exchange Commission (“SEC”) and the U.S. Department of Justice (“DOJ”) participated in Sandpiper Partners LLC’s Annual SEC/DOJ Enforcement 2016 Panel at the Metropolitan...more

BakerHostetler

Yes, Attorneys Too Can Blow the Whistle: But When and How Hard?

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According to the United States Securities and Exchange Commission (“SEC” or the “Agency”), an attorney – or any individual, for that matter – should not have to first report misconduct to the SEC to fall under the protections...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

Locke Lord LLP

Internal Investigations: The Three C’s – Confidence. Credibility. Cost.

Locke Lord LLP on

In this issue: - THE THREE C’S — CONFIDENCE, CREDIBILITY AND COST - WHO CONDUCTS THE INVESTIGATION? - SCOPE OF THE INVESTIGATION - MINDSET AT THE OUTSET OF AN INVESTIGATION - THE NEED FOR SPEED ...more

Thomas Fox - Compliance Evangelist

King Arthur Week – The Round Table and Compliance Professionals and Lawyers as Whistleblowers – Part III

Today we use King Arthur’s Round Table as the entry into our topic. The Round Table is the famous table around which he and his Knights congregated. Its shape implies that everyone who sits there has equal status. Wace, who...more

Mintz - Securities & Capital Markets...

SEC Whistleblower Inquiry Raises Concerns About Protection of Confidential and Privileged Information

According to a recent Wall Street Journal article, the SEC has launched an inquiry into whether corporations are using confidentiality agreements to prevent employees from communicating with the SEC about potential securities...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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