Whistleblowers, SEC | JD Supra Law News

Whistleblower Law Firm Complains To SEC

by Jill Radloff | Leonard, Street and Deinard - Dodd-Frank and... on 5/20/2013

Two partners from a self-described law firm that specializes in the representation of whistleblowers have sent a letter to the SEC Commissioners complaining about the use of severance agreements to prevent employees from...more

Corporate and Financial Weekly Digest - May 10, 2013

by Katten Muchin Rosenman LLP on 5/13/2013

In this issue: - SEC Roundtable Discusses Current Securities Law Topics at 33rd Annual Ray Garrett Jr. Corporate and Securities Law Institute - SEC Reopening Comment Periods for Certain Rulemaking Releases and...more

New York Times Quotes Lloyd Chinn on “Sharper Focus” of Internal Whistleblower Compliance Policies

by Harris M. Mufson, Daniel Saperstein | Proskauer - Whistleblowing & Retaliation on 4/25/2013

In an article published by the New York Times yesterday, Lloyd Chinn, Co-head of Proskauer’s Whistleblower & Retaliation Group, commented on the recent efforts of some companies to strengthen their whistleblower compliance...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

Third Circuit Lowers Bar For Determining Whether Internal Complaint Is SOX Protected Activity

by Lloyd B. Chinn, Harris M. Mufson, Steven J. Pearlman, Michael Spencer | Proskauer - Whistleblowing & Retaliation on 3/26/2013

In Wiest v. Lynch, No. 11-cv-4257, 2013 U.S. App. LEXIS 5345 (3d Cir. March 19, 2013), the Third Circuit gave Chevron deference to U.S. Department of Labor Administrative Review Board’s (ARB) interpretation of “protected...more

McNulty’s Maxim No. 3 and Response to Allegations of Bribery

by Thomas Fox on 3/26/2013

In a Wall Street Journal (WSJ) article by Chris Matthews, Joe Palazzolo and Shira Ovide, entitled “U.S. Probes Microsoft Bribery Allegations”, they reported that the Department of Justice (DOJ) and Securities and Exchange...more

What To Do If Your Gut Says It’s Wrong: Lessons from Project Alpha

by Thomas Fox on 3/21/2013

I often write about what can happen to companies who run afoul of the Foreign Corrupt Practices Act (FCPA). Usually enforcement actions focus on companies and not individuals. However, as is often pointed out by commentators...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

Anti-Corruption Compliance Check-Ups

by Michael Volkov on 3/11/2013

The Justice Department’s message is getting through. The two-fisted strategy of aggressive enforcement and public cajoling on the importance of compliance is being heard by the business community. The Justice Department and...more

SEC Inadvertently Produces Whistleblower Complaint, But Then Obtains Protective Relief

by Steven J. Pearlman, Massiel Pedreira | Proskauer - Whistleblowing & Retaliation on 3/11/2013

During discovery in an SEC administrative and cease-and-desist proceeding instituted in December 2012 (pursuant to Sections 9(b) and 9(f) of the Investment Company Act of 1940)[1] the SEC Division of Enforcement (DOE)...more

The SEC Speaks: Reflections and Enforcement Initiatives in 2013

by Randall Fons, Brian Hoffman, Tiffany Rowe | Morrison & Foerster LLP on 3/6/2013

Each year at The SEC Speaks, the Commissioners and senior leadership of the Securities and Exchange Commission identify the agency’s priorities and initiatives for the coming year. Of course, one of the most anticipated...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

Sands’ Casinos Report of “Possible” FCPA Violations Will Draw Scrutiny to the Gaming Industry

by Brett W. Johnson, Heidi McNeil Staudenmaier | Snell & Wilmer L.L.P. on 3/5/2013

On Friday, March 1, 2013, the parent company of the Las Vegas Sands Corp. (Sands), reported in a filing to the Securities and Exchange Commission (SEC) that the company may have violated the “books and records and internal...more

The SEC Speaks: Enforcement Panel Discusses 2013 Priorities and Past Successes

by Benjamin D. Klein, E. Andrew Southerling | Morgan Lewis on 2/27/2013

Changing SEC leadership defines its priorities for a new era of SEC enforcement. At the annual "The SEC Speaks" conference on February 22 in Washington, D.C., Acting Director George Canellos and other senior officials...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

District Court Widens Split On Whether Complaints Of Alleged Future Misconduct Are Protected

by Noa Baddish, Harris M. Mufson, Steven J. Pearlman | Proskauer - Whistleblowing & Retaliation on 2/18/2013

The U.S. District Court for the Central District of California ruled that a SOX whistleblower complaint survived a Rule 12(b)(6) challenge on “reasonable belief” grounds and found that complaints of potential future...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

OIG Report On SEC Whistleblower Program: Praise, Suggestions & Conclusion That Private Right Of Action Would Be Premature

by Michael Graham, Steven J. Pearlman | Proskauer - Whistleblowing & Retaliation on 2/6/2013

On January 18, 2013, the Securities and Exchange Commission’s (SEC) Office of Inspector General (OIG) released its report titled Evaluation of the SEC’s Whistleblower Program. The report presented a largely positive review of...more

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Whistleblowers › Securities & Exchange Commission

Whistleblower Law Firm Complains To SEC

Corporate and Financial Weekly Digest - May 10, 2013

New York Times Quotes Lloyd Chinn on “Sharper Focus” of Internal Whistleblower Compliance Policies

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

Third Circuit Lowers Bar For Determining Whether Internal Complaint Is SOX Protected Activity

McNulty’s Maxim No. 3 and Response to Allegations of Bribery

What To Do If Your Gut Says It’s Wrong: Lessons from Project Alpha

Whistleblowers: A Dilemma For The Defense

Anti-Corruption Compliance Check-Ups

SEC Inadvertently Produces Whistleblower Complaint, But Then Obtains Protective Relief

The SEC Speaks: Reflections and Enforcement Initiatives in 2013

SEC Enforcement Update - The SEC Speaks in 2013

Sands’ Casinos Report of “Possible” FCPA Violations Will Draw Scrutiny to the Gaming Industry

The SEC Speaks: Enforcement Panel Discusses 2013 Priorities and Past Successes

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

District Court Widens Split On Whether Complaints Of Alleged Future Misconduct Are Protected

How Does Your Organization Treat Whistleblowers?

OIG Report On SEC Whistleblower Program: Praise, Suggestions & Conclusion That Private Right Of Action Would Be Premature

Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2012 Year in Review

Siemens Whistleblower Complaint Underscores Need for "Top-Down" Anti-Corruption Compliance

How To Prevent Whistleblower Complaints

Federal Grant & Contract News for Nonprofits - January 2013

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

"SEC Enforcement in the Second Term of the Obama Administration"

Skadden's 2013 Insights: Global Litigation

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