The Securities & Exchange Commission, the Department of Health & Human Services, and other agencies have long had established bounty programs that reward successful tipsters. On August 1, 2024, the Department of Justice’s...more
8/27/2024
/ Corporate Crimes ,
Corporate Misconduct ,
Department of Health and Human Services (HHS) ,
Department of Justice (DOJ) ,
Dodd-Frank ,
Federal Pilot Programs ,
Investigations ,
Securities and Exchange Commission (SEC) ,
Self-Disclosure Requirements ,
Voluntary Disclosure ,
Whistleblower Awards ,
Whistleblowers
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include:
Third...more
4/21/2023
/ Arbitration ,
CFTC ,
Commodity Exchange Act (CEA) ,
Corporate Counsel ,
Dodd-Frank ,
Employee Misconduct ,
Popular ,
Retaliation ,
Securities and Exchange Commission (SEC) ,
Statute of Limitations ,
Whistleblower Awards ,
Whistleblowers
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include:...more
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business...
SEC to Study Amended...more
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include:
SEC...more
4/23/2021
/ Deferred Prosecution Agreements ,
Department of Justice (DOJ) ,
Department of Labor (DOL) ,
Dodd-Frank ,
Enforcement Actions ,
Investment Advisers Act of 1940 ,
Non-Prosecution Agreements ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblowers
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include:
SEC...more
1/29/2021
/ Anti-Money Laundering ,
CFTC ,
Department of Justice (DOJ) ,
Department of Labor (DOL) ,
Dodd-Frank ,
NDAA ,
Parent Corporation ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
U.S. Treasury ,
Whistleblower Awards ,
Whistleblowers
SEC Whistleblower Program Rules Change -
On September 23, 2020, the U.S. Securities and Exchange Commission (SEC) announced the adoption of a final rule in Release 34-89963 that changes several aspects of its whistleblower...more
10/22/2020
/ Appeals ,
CFTC ,
Corporate Counsel ,
Dodd-Frank ,
Final Rules ,
New Rules ,
Proposed Rules ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Whistleblower Awards ,
Whistleblowers
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments...more
1/29/2020
/ Annual Reports ,
Anti-Retaliation Provisions ,
CFTC ,
Directors ,
Dodd-Frank ,
Enforcement Actions ,
Rule 21F-17 ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Violations ,
Whistleblower Protection Policies ,
Whistleblowers
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business...more
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include:
Fifth...more
4/16/2019
/ Bio-Rad Laboratories ,
CFTC ,
Corporate Counsel ,
Dismissals ,
Dodd-Frank ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
JPMorgan Chase ,
Retaliation ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include:
Upward...more
1/28/2019
/ Annual Reports ,
Anti-Retaliation Provisions ,
CEOs ,
CFTC ,
Commodity Exchange Act (CEA) ,
Dodd-Frank ,
Initial Coin Offering (ICOs) ,
NYDFS ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblowers
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include:
New...more
7/19/2018
/ Anti-Retaliation Provisions ,
CFTC ,
Dodd-Frank ,
Employer Liability Issues ,
Hiring & Firing ,
Internal Reporting ,
Proposed Rules ,
Retaliation ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include:
Only...more
4/18/2018
/ Anti-Retaliation Provisions ,
Bright-Line Rule ,
Digital Realty Trust Inc v Somers ,
Dodd-Frank ,
Internal Reporting ,
Reporting Requirements ,
Retaliation ,
Safe Harbors ,
Sarbanes-Oxley ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
The Supreme Court in Digital Realty Trust narrowed the definition of a whistleblower under the Dodd-Frank Act only to those persons who have provided information of a securities laws violation to the U.S. Securities and...more
2/22/2018
/ Anti-Retaliation Provisions ,
Digital Realty Trust Inc v Somers ,
Dodd-Frank ,
Employer Liability Issues ,
Reporting Requirements ,
Retaliation ,
Sarbanes-Oxley ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Split of Authority ,
Whistleblower Protection Policies ,
Whistleblowers
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments...more
2/1/2018
/ Corporate Counsel ,
Disclosure Requirements ,
Dodd-Frank ,
Enforcement Actions ,
Foreign Nationals ,
Former Employee ,
Oral Argument ,
Retaliation ,
Sarbanes-Oxley ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Summary Judgment ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
...On July 25, 2017, the U.S. Securities and Exchange Commission (SEC) announced it was awarding nearly $2.5 million to a government employee who tipped off the SEC to a company’s wrongdoing.
Although the SEC does not...more
10/19/2017
/ Appeals ,
Digital Realty Trust Inc v Somers ,
Dodd-Frank ,
Federal Contractors ,
Financial CHOICE Act ,
Hiring & Firing ,
Investors ,
Misclassification ,
OFCCP ,
Private Sector ,
Reporting Requirements ,
Retaliation ,
Sarbanes-Oxley ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Split of Authority ,
Whistleblower Awards ,
Whistleblowers ,
Wrongful Termination
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. ...more
7/25/2017
/ Amended Rules ,
Certiorari ,
CFTC ,
Dodd-Frank ,
Financial CHOICE Act ,
Internal Reporting ,
Jury Verdicts ,
Popular ,
Retaliation ,
Sarbanes-Oxley ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Split of Authority ,
Whistleblower Awards ,
Whistleblowers
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. ...more
4/21/2017
/ Anti-Retaliation Provisions ,
Appeals ,
Denial of Certiorari ,
Dismissals ,
Dodd-Frank ,
False Claims Act (FCA) ,
Federal Contractors ,
Financial Industry Regulatory Authority (FINRA) ,
Hiring & Firing ,
Investment Adviser ,
Job Duties ,
Reporting Requirements ,
Retaliation ,
Reversal ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Sexual Orientation Discrimination ,
Split of Authority ,
Supervisors ,
Whistleblowers ,
Wrongful Termination
According to a memo circulating amongst Republican-party leaders as of February 13th, Republicans in the House of Representatives are planning to propose a significant curtailment of the U.S. Securities and Exchange...more
2/26/2017
/ Anti-Retaliation Provisions ,
Civil Monetary Penalty ,
Conspiracies ,
Consumer Financial Protection Bureau (CFPB) ,
Dodd-Frank ,
Enforcement Actions ,
False Claims Act (FCA) ,
Financial Services Industry ,
Foreign Corrupt Practices Act (FCPA) ,
Legislative Agendas ,
Morgan Stanley ,
OSHA ,
Popular ,
Retaliation ,
Rollbacks ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Separation Agreement ,
Waiver of Rights ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
SEC Awards Bounty to Whistleblower, But Offsets Award for a Judgment Against the Whistleblower -
The extent to which the SEC would reward whistleblowers, who themselves engaged in wrongdoing, has been the subject of...more
4/13/2016
/ Adverse Employment Action ,
Amicus Briefs ,
CFTC ,
Corporate Counsel ,
Dodd-Frank ,
Enforcement Actions ,
Internal Investigations ,
Protected Activity ,
Retaliation ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblowers
Several important matters related to whistleblower actions occurred toward the close of 2015, including the first instance of a director being held individually liable for retaliation, a dismissal of the Berman v. Neo@Ogilvy...more
1/8/2016
/ Anti-Retaliation Provisions ,
CFTC ,
Confidentiality Agreements ,
Corporate Counsel ,
Dodd-Frank ,
Foreign Corrupt Practices Act (FCPA) ,
Internal Reporting ,
Petition for Writ of Certiorari ,
Sarbanes-Oxley ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblower Protection Policies
Second Circuit Splits from Fifth Circuit on Whistleblower SEC Reporting Obligations
On September 10, 2015, the Second Circuit in Berman v. Neo@Ogilvy LLC, 2015 U.S. App. LEXIS 16071 (2d Cir. 2015), ruled that...more
10/5/2015
/ Anti-Retaliation Provisions ,
Barnes and Noble ,
Confidentiality Agreements ,
Corporate Counsel ,
Dodd-Frank ,
Enforcement Actions ,
Fraud ,
Internal Reporting ,
Interpretive Rule ,
OSHA ,
Protected Activity ,
Reversal ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Termination ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
In a much-anticipated decision, the U.S. Court of Appeals for the Second Circuit set up a possible showdown at the U.S. Supreme Court when it decided on September 10 that whistleblowers need not report to the SEC in order to...more
In the first opinion on the subject by an appellate court, the U.S. Court of Appeals for the Fifth Circuit ruled in Asadi v. G.E. Energy (USA), LLC, No. 12-20522 (5th Cir. July 17, 2013), that Dodd-Frank’s protections against...more