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
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
• 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 Whistleblower Office 2014 Annual Report Details Rising Number of Tips and Increasing Awards -
On November 17, 2014, the U.S. Securities and Exchange Commission (SEC) Whistleblower Office issued its Fiscal Year 2014...more
1/7/2015
/ Annual Reports ,
Dodd-Frank ,
Halliburton ,
Orion Energy ,
Popular ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Siemens ,
TD Ameritrade ,
Whistleblower Awards ,
Whistleblowers
On July 31, 2014, the SEC awarded $400,000 to a whistleblower who had reported internally before providing information to the SEC. The award was unique because the SEC’s Claims Review Staff had denied the whistleblower’s...more
After repeated warnings over the last few years that it had both the authority and willingness to do so, on June 16, 2014, the SEC brought its first enforcement action for retaliation against a whistleblower under the...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