In Murray v. UBS Securities, LLC, 601 U. S. ____, 2024 WL 478566 (2024), the United States Supreme Court (Sotomayor, J.) held that whistleblowers do not need to prove their employer acted with “retaliatory intent” to be...more
2/21/2024
/ Adverse Employment Action ,
Anti-Retaliation Provisions ,
Burden of Proof ,
Employees ,
Employer Liability Issues ,
Murray v UBS Securities LLC ,
Retaliation ,
Sarbanes-Oxley ,
SCOTUS ,
Whistleblower Protection Policies ,
Whistleblowers
In a landmark unanimous ruling late last week, Murray v. UBS Securities, LLC, et al. 601 U. S. ____ (2024), the U.S. Supreme Court held that whistleblowers do not need to prove their employer acted with “retaliatory intent”...more
For the first time outside of the originating case itself, a federal appeals court was called upon to apply the principles governing disgorgement in SEC enforcement actions established by the United States Supreme Court’s...more
8/21/2020
/ Administrative Authority ,
Business Expenses ,
Calculation of Damages ,
Corporate Misconduct ,
Disgorgement ,
Enforcement Actions ,
Equitable Relief ,
Lack of Authority ,
Liu v Securities and Exchange Commission ,
Net Profits ,
Remand ,
Remedies ,
Reversal ,
SCOTUS ,
Securities and Exchange Commission (SEC)
In Liu v. Securities & Exchange Comm’n, No. 18-1501, 2020 WL 3405845 (U.S. June 22, 2020), the United States Supreme Court upheld the authority of the Securities and Exchange Commission (“SEC”) to seek disgorgement as an...more
On April 10, 2017, Neil Gorsuch was sworn in as the Supreme Court’s 113th justice. While his experience on the Tenth Circuit Court of Appeals with cases involving financial regulation may be limited, certain of his decisions...more
4/27/2017
/ Chevron Deference ,
Chevron v NRDC ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Regulatory Reform ,
Neil Gorsuch ,
Regulatory Oversight ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Statutory Interpretation ,
Unregistered Securities