Retaliation Securities & Exchange Commission

News & Analysis as of

Whistleblowing: An Employer’s Guide To Global Compliance

In This Issue: - Foreword - A Summary Across Five Continents - Law and Sanctions - The Legislative Framework: Whistleblower Protections Across the Globe - Global Differences: The Cultural...more

Senn on 10 Best Practices in a Cross-Border Investigation – Part II

Today I conclude a two-part series on how to formulate an effective best practices cross-border investigation based upon an interview I did with Mara Senn, a partner at Arnold & Porter LLP, who specializes in white collar...more

A Compilation of Enforcement and Non-Enforcement Actions

Compliance Issues With Private Equity Fund Managers Remains a Concern With the SEC - In May of last year, the SEC rang the alarm bells after conducting sweep examinations of private equity fund managers. At that time, the SEC...more

Economic Downturn Week, Part II – The Golden Gate Bridge and Employment Separation – Hotlines and Whistleblowers During Layoffs

I use the Golden Gate Bridge as an entrée to my continued discussion on the series on steps that you can use in your compliance program if you find yourself, your company or your industry in an economic downturn. Whether you...more

SEC Announces $600,000 Award to Whistleblower in First-Ever Retaliation Payout

Since the U.S. Securities and Exchange Commission’s whistleblower award program was launched more than three years ago, the agency has handed out payments of more than $50 million to 17 different whistleblowers. ...more

Whistle While You Work: SEC Announces First Retaliation Whistleblower Award

On June 16, 2014, the SEC issued its first-ever charge of whistleblower retaliation under section 922 of the Dodd-Frank Act, charging a hedge fund advisor and its owner with “engaging in prohibited principal transactions and...more

April Whistleblower News Digest | Consider Targeted Anti-Retaliation Training as part of Your Ethics and Compliance Training...

If April showers bring May flowers, then May is going to be a veritable hurricane of whistleblower-related fines (and also pollen). Our first three items come to us from the SEC, with awards and fines galore, most notably the...more

SEC Announces a Maximum Whistleblower Award to an Employee Who Faced Employment Retaliation as a Consequence of Reporting...

In June of last year, Paradigm Capital Management agreed to pay the SEC nearly $2 million to settle allegations that it violated the Dodd-Frank Act’s conflict-of-interest rules and unlawfully retaliated against the...more

This Week In Securities Litigation

The SEC announced its first whistleblower award in a retaliation case this week. The agency also brought an insider trading case, an action against an investment adviser, its general counsel and auditor based on a conflict, a...more

King Arthur Week – The Green Knight and the Protection of Whistleblowers – Part IV

We continue our King Arthur themed week with an exploration of one of the most interesting characters in the Arthur canon, The Green Knight, so called because his skin and clothes are green. The meaning of his greenness has...more

SEC Makes Whistleblower Award in Connection With Retaliation Case

The SEC announced a maximum whistleblower award payment of 30 percent of amounts collected in connection with In the Matter of Paradigm Capital Management, Inc. and Candace King Weir, File No. 3-15930 (June 16, 2014), the...more

Five Key Issues Confronting Financial Services Industry Employers

Employers in the financial services industry are faced with a growing number of employment law challenges. Whistleblower complaints are on the rise as regulatory agencies become more aggressive in their efforts to encourage...more

SEC Targets Confidentiality Agreements That Stifle Whistle-Blowing

On April 1, 2015, the Securities and Exchange Commission (“SEC”) announced its first enforcement action and settlement against a company for violations of the whistleblower protection provisions of the Dodd-Frank Act...more

Do Your Confidentiality and Employment Agreements Violate SEC Whistleblower Protection Rules?

As the SEC takes aim at whistleblower “pretaliation” (attempts to muzzle whistleblowers via confidentiality and other employment agreements—overt or otherwise) ethics and compliance officers need to take practical steps to...more

The Employment Law Authority - March/April 2015

In this Issue: - Immigration - State Round-Up - Best Practices - Retaliation - Employment Discrimination - Excerpt from Immigration; Spouses of H-1B visa holders will be eligible for work...more

March Whistleblower News Digest – Is Your Anti-Retaliation Compliance Training Program Ready?

I thought February was a jam-packed month for whistleblower-related news, but March had no shortage of whistleblower headlines. From the SEC kicking off the month with a hefty whistleblower award to OSHA issuing the final...more

A Review of Recent Whistleblower Developments

• Fourth Circuit Applies Two-Year Statute of Limitations to SOX Whistleblower Claim and Confirms Availability of Emotional Distress Damages • SDNY Holds That SOX Protects Employee From Retaliation for Activity Engaged...more

SEC Argues in Second Circuit Amicus Brief That Dodd-Frank Protects Inside Whistleblowers

On February 6, the Securities Exchange Commission filed an amicus brief advising the United States Court of Appeals for the Second Circuit that the whistleblower protections of the Dodd-Frank Wall Street Reform and Consumer...more

Court Finds Naming Names in Public Filings and Imprudent Emails Support Action For Retaliation

In Celia Greengrass v. International Monetary Systems, Ltd., 2015 WL 137891, (7th Cir. Jan. 12, 2015), the Seventh Circuit relied in part on the fact that an employer identified a former employee by name in its discussion of...more

Disclosure of Charging Party's Name in Securities Filing Can Constitute Retaliation Under Title VII

Publically traded companies are required by law to disclose to shareholders pending legal matters that could materially affect their stock price. According to the Seventh Circuit Court of Appeals, an employer’s disclosure of...more

A Look Back at SEC Whistleblowers in 2014

In retrospect, 2014 has to be considered a success for the whistleblower program run by the United States Securities and Exchange Commission (SEC). This year, whistleblowers who earned awards through the SEC earned more money...more

2015 Trends: #8 Top Whistleblowing Priorities for Compliance Professionals

Last November, the U.S. Securities and Exchange Commission issued its Annual Report to Congress on the Dodd-Frank Whistleblower Program. It is clear that the program is going strong. Following are five key ways compliance...more

10-K Conundrum: 7th Circuit Holds Corporate Filings Can Lead To Employment Claims

A recent Seventh Circuit decision provides a cautionary tale for employers deciding what level of detail about litigated matters to include in publicly disclosed Securities and Exchange Commission (“SEC”) filings. The court...more

You’ve Gotta Be Kidding. THIS Is Retaliation?

I am not making this up. International Monetary Systems, Ltd., is facing a jury trial on a retaliation claim made by a former employee. The company is going to trial because it listed the plaintiff by name on the disclosures...more

SDNY Says Whistleblowers Must Report to the SEC

In Berman v. Neo@ogilvy LLC, the Unites States District Court for the Southern District of New York held an employee must report information to the SEC in order to qualify for the anti-retaliation protections afforded by the...more

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