News & Analysis as of

Confidential Information › Dodd-Frank Wall Street Reform and Consumer Protection Act › Enforcement Actions

Thomas Fox - Compliance Evangelist

Pre-Taliation Continues to Rear It’s Ugly Head

Thomas Fox - Compliance Evangelist on

DE Shaw, a prominent financial services firm, recently settled a retaliation case with the Securities and Exchange Commission (SEC) for a staggering $10 million. It was settled via an Administrative Order. This settlement...more

Latham & Watkins LLP

Insider Trading in Commodities Markets: An Evolving Enforcement Priority

Latham & Watkins LLP on

The CFTC and the DOJ both now pursue enforcement actions against trading in commodities based on misappropriation of confidential information. Among the many changes resulting from the Dodd-Frank Wall Street Reform and...more

Cadwalader, Wickersham & Taft LLP

2016 Year In Review: Securities Litigation And Regulation

Cadwalader, Wickersham & Taft LLP on

2016 was an active year in securities litigation. In the first half of 2016 alone, plaintiffs filed 119 new federal class action securities cases. It was also a busy year for SEC enforcement proceedings, with a record 868...more

BakerHostetler

SEC Enforcement Actions May Require Changes to Severance Agreements

BakerHostetler on

Public companies should revisit their template severance agreements, in light of two recent orders by the Securities and Exchange Commission (SEC). Standard severance clauses covering (1) confidential information and (2)...more

Burr & Forman

SEC Continues Crackdown on Whistleblower Restrictions: Calls Qui Tam Waivers "Targeting"

Burr & Forman on

The SEC announced its second enforcement action in a week against a company using severance or confidentiality agreements requiring employees to waive whistleblower bounties or their right to bring a qui tam action....more

Brownstein Hyatt Farber Schreck

SEC Settles Charges for Violation of Whistleblower Program’s Prohibition of Impediments to Communications Regarding Possible...

Brownstein Hyatt Farber Schreck on

On August 10, 2016, the Securities and Exchange Commission (SEC) announced a settlement with BlueLinx Holdings Inc. concerning alleged violations of the Dodd-Frank Whistleblower Program’s prohibition on impeding whistleblower...more

Bracewell LLP

Municipal Advisor, School Consultant, and Associated Individuals Enter Settlement Offers with SEC after First-of-Its-Kind...

Bracewell LLP on

On June 13, 2016, the Securities and Exchange Commission (SEC) accepted the settlement offers made by two firms and three executives charged with using deceptive business practices in dealing with five school districts. As...more

7 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide