Whistleblowers, Dodd-Frank | JD Supra Law News

Court Finds Internal Reporting By Whistleblower Entitled To Dodd-Frank Protections

by Stephen M. Quinlivan | Leonard, Street and Deinard - Dodd-Frank and... on 5/24/2013

In Murray v. UBS Securities LLC et al (12-CV-5914 S.D.N.Y.) the court found that an employee who reports violations of securities laws to his supervisor, but not the SEC, is entitled to the anti-retaliation protections for...more

Will the Latest Opinion by A District Court Adopting a Broad Definition of Who is a Whistleblower Encourage More Internal...

by Mike Delikat, Rachel Muoio, Renee Phillips | Orrick - Global Employment Law Group on 5/24/2013

On Tuesday, another New York federal district court ruled that an employee need not report a disclosure directly to the Securities and Exchange Commission (“SEC”) to be afforded the protections under the anti-retaliation...more

Four Key Board Responsibilities for Monitoring Risk and Compliance

by NAVEX Global on 5/13/2013

Introduction: High Pressure Regulatory Environment - Now more than ever, there is increased regulatory pressure on organizations – and their Boards of Directors – to create and maintain effective ethics and compliance...more

Legal Alert: Court Rejects Retroactivity of Dodd–Frank's Whistleblower Remedies

by Thomas Bundy, III, Cynthia M. Krus, Allegra Lawrence-Hardy, Lee Peifer, Holly H. Smith, Lewis Wiener | Sutherland Asbill & Brennan LLP on 4/18/2013

Since the 2010 enactment of the Dodd–Frank Wall Street Reform and Consumer Protection Act, a recurring question in judicial opinions interpreting the Act’s whistleblower provisions has been whether these provisions should be...more

The Enforcement Powers of the Consumer Financial Protection Bureau

by Jonathan Foxx on 4/11/2013

For several months, the Consumer Financial Protection Bureau (“CFPB” or “Bureau”) has implemented a spate of enforcement actions against banks and non-banks. My interest in this article is neither to re-litigate those cases...more

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

by Harris M. Mufson, Steven J. Pearlman, Daniel Saperstein | Proskauer - Whistleblowing & Retaliation on 4/5/2013

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

Global HR Hot Topic - April 2013: Internal Investigations in Overseas Workplaces

by Donald C. Dowling, Jr. | White & Case LLP on 4/2/2013

Challenge: In America, internal investigations into suspicions and allegations of employee misconduct follow an increasingly well-defined approach. But exporting US investigatory best practices raises unexpected...more

Retaliation and Whistleblower Claims by In-House Counsel

by Jeanne Barber, Edward Ellis, Linda Jackson, Earl (Chip) M. Jones III, Gregory Keating, Allan King, Patricia Martin, Amy Mendenhall, Roberta Ruiz | Littler on 4/1/2013

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

Dodd-Frank News - March 2013: Dodd-Frank Wall Street Reform And Consumer Protection Act Monthly Update

by Rachel Cash, David Elliott, Kristin Peters, Jordan Teague | Burr & Forman on 3/27/2013

In This Issue: - Recent Cases ..CFTC Jurisdiction Under the Commodity Exchange Act ..Dodd-Frank Amendment to the TILA ..Preemption ..Say-On-Pay Voting ..Pre-Dispute Arbitration Agreements ...more

Whistleblowers: A Dilemma For The Defense

by Catherine M. Foti | Morvillo Abramowitz Grand Iason & Anello P.C.... on 3/18/2013

Originally published in Law360 on December 18, 2012. Without a doubt, the advent of the U.S. Securities and Exchange Commission’s whistleblower bounty program prompted a drastic increase in the number of individuals...more

SEC Enforcement Update - The SEC Speaks in 2013

by King & Spalding on 3/5/2013

The U.S. Securities and Exchange Commission held its annual SEC Speaks program in Washington, D.C. on February 22-23, 2013. In the postfinancial crisis, post-Dodd-Frank world, it is clear that the Commission and its staff are...more

SEC Speaks: Agency Takes Back-To-Basics Approach In Face Of Changing Leadership, Congressional Mandates And New Technologies

by Regina LaMonica, Jose Lopez, Keith Miller, Charles Mulaney, Pravin Rao | Perkins Coie on 2/25/2013

The annual “SEC Speaks” conference, in which Securities and Exchange Commission (SEC) representatives review the agency’s efforts over the past year and preview the year to come, was held on February 22-23, 2013. A...more

How Does Your Organization Treat Whistleblowers?

by Thomas Fox on 2/8/2013

As almost everyone knows, Lance Armstrong spoke for the first time about his performance enhancing drug (PED) use recently on Oprah. On the first night he admitted for the first time that he used PEDs during his seven wins at...more

OSHA Whistleblower Program: Record Number of Cases Filed & Resolved In 2012

by Lloyd B. Chinn, Harris M. Mufson, Steven J. Pearlman | Proskauer - Whistleblowing & Retaliation on 1/28/2013

OSHA recently released statistics (aggregated by BNA) showing dramatic increases in both the number of whistleblower cases filed with OSHA last year as well as the number of OSHA determinations....more

Dodd-Frank News: January 2013: Dodd-Frank Wall Street Reform And Consumer Protection Act Monthly Update

by Rachel Cash, David Elliott, Kristin Peters, Jordan Teague | Burr & Forman on 1/25/2013

In This Issue: - RECENT CASES . Dodd-Frank Challenges Under the Administrative Procedure Act and Commodity Exchange Act . Preemption . Whistleblower Protection Under the Dodd-Frank Act . Arbitration...more

District Court Requires SOX Plaintiff To Assert Shareholder Fraud, Consistent with Statute’s Purpose

by Lloyd B. Chinn, Rachel Fischer | Proskauer - Whistleblowing & Retaliation on 1/18/2013

The U.S. District Court for the District of North Carolina recently dismissed a plaintiff’s Sarbanes-Oxley whistleblower complaint on the ground that the plaintiff had not alleged shareholder fraud....more

The Person Of The Year: The Whistleblower

by Michael Volkov on 1/9/2013

In keeping with “tradition” (even if it is a one-year tradition), I like to start out the year looking back on the person of the year in 2012. As we look through the developments of 2012, there is no question of the...more

False Claims Act Focus - December 2012

by Patton Boggs LLP on 12/22/2012

EDITOR’S NOTE - Recent reports from the Department of Justice that it collected a record $4.9 billion under the False Claims Act in fiscal year 2012 only underscore what we’ve been seeing in our practice and elsewhere in...more

The SEC’s Annual Report on the Dodd-Frank Whistleblower Program: Statistics Suggest Best Practices for an Effective Compliance and...

by Andrea P. Brockway, Christopher R. Hall | Saul Ewing LLP on 12/20/2012

The Securities and Exchange Commission’s Annual Report on the Dodd-Frank Whistleblower Program, released November 2012, provides the first complete year of data on the activities of the Office of the Whistleblower (“OWB”)...more

Home

Legal News

Find a Lawyer

Browse Subjects

Subscribe

Pro Services

For Reporters

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