On November 17, 2021, the U.S. District Court for the Southern District of New York held that a company and its CEO violated Rule 21F-17 of the Exchange Act by entering into confidentiality agreements with investors that...more
12/17/2021
/ Confidentiality Agreements ,
Enforcement Actions ,
Investment ,
Investment Fraud ,
Investors ,
Regulatory Standards ,
Rule 21F-17 ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations ,
Whistleblower Protection Policies ,
Whistleblowers
On June 23, 2021, the SEC announced that Guggenheim Securities, LLC (“Company”) agreed to settle charges that it violated Rule 21F-17 by including language in its compliance manual and training materials that allegedly...more
On July 16, 2020, the Third Circuit affirmed the dismissal of a former IT analyst’s whistleblower retaliation claim, holding that he lacked an objectively reasonable belief that his complaints implicated one of the enumerated...more
8/18/2020
/ Anti-Retaliation Provisions ,
Cybersecurity ,
Dodd-Frank ,
Internal Controls ,
Internal Investigations ,
Internal Reporting ,
Popular ,
Retaliation ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Violations ,
Whistleblower Protection Policies ,
Whistleblowers ,
Wire Fraud