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Internal Reporting

SEC’s Office of the Whistleblower Ends 2017 With a Bang

Just in time for the holiday season, the U.S. Securities and Exchange Commission (“SEC” or “Commission”) has brought joyful news to three whistleblowers who will receive substantial awards of over $8 million each to two...more

Digital Realty Trust, Inc. v. Somers Oral Argument Recap

As we have previously noted here, in Digital Realty Trust, Inc. v. Somers, the United States Supreme Court will decide how to interpret the term “whistleblower” under the Dodd-Frank Act, and how to apply the term to the Act’s...more

Whistleblower Status Up For Debate Before SCOTUS: Digital Realty Trust Inc. v. Somers

The nation’s top court will soon decide a key aspect of how employers should handle employee complaints about possible fraud or financial wrongdoing in the company that may violate federal laws. These situations provide...more

Where the Whistle Blows: Justices Express Doubt That Dodd-Frank Protection Shields Internal Whistleblowing

by Zuckerman Spaeder LLP on

When Congress passed the Dodd-Frank Act in 2010, it bolstered protections for whistleblowers who report certain kinds of misconduct, such as violations of securities law. At the time, the Sarbanes-Oxley Act already provided...more

Blog: SCOTUS hears oral argument in Somers v. Digital Realty Trust: Dodd-Frank whistleblower statute “says what it says”

by Cooley LLP on

Yesterday, in addition to hearing oral argument regarding state court jurisdiction over ’33 Act class actions (see this PubCo post), SCOTUS also heard oral argument in a second case, Somers v. Digital Realty Trust. This case...more

The Arguments in Digital Realty: A Glimpse of Future Battles

by Dorsey & Whitney LLP on

The Supreme Court heard argument in Digital Realty Trust, Inc. v. Paul Somers, No. 16-1276. The case centers on the question of who is a whistleblower and entitled to the protections of the Dodd-Frank anti-retaliation...more

The Supreme Court To Clarify Who Is A Whistleblower Under The Dodd-Frank Act; Employers Have A Reason To Be Hopeful

by Seyfarth Shaw LLP on

Seyfarth Synopsis: Following oral argument, employers can be cautiously optimistic that the U.S. Supreme Court will hold that the Dodd-Frank Act’s anti-retaliation protections apply only to those employees who have made a...more

Whistleblowing: approvata la Legge sulle segnalazioni di reati o irregolarità di cui i lavoratori siano venuti a conoscenza nello...

Il 15 novembre 2017 la Camera dei Deputati ha approvato definitivamente il DDL recante "Disposizioni per la tutela degli autori di segnalazione di reati o irregolarità di cui siano venuti a conoscenza nell'ambito di un...more

Is an Internal Whistleblower a “Whistleblower” Entitled to Anti-Retaliation Protection Under the Dodd-Frank Act?

Who is a “whistleblower” entitled to protection under the anti-retaliation provisions of the Dodd-Frank Act (the “Act”)? In Digital Realty Trust, Inc. v. Somers, the United States Supreme Court will answer that question by...more

Securities and Corporate Governance Update – November 2017

by Bryan Cave on

Planning for the 2018 Proxy Season - There are number of important considerations that public companies should be aware of as they begin preparing for the 2018 proxy season, including potential changes in law, pay ratio...more

Beware the Rumor Mill: Massachusetts Court Finds Reporting of Rumored Office Romance May Be Protected Activity

by Seyfarth Shaw LLP on

Seyfarth Synopsis: A Massachusetts federal court has found that reporting a rumored office romance and complaining about paramour favoritism can be protected activity that is protected by anti-retaliation laws. The court also...more

The 10 Hallmarks of an Effective Compliance Program: Still the Foundation

by Thomas Fox on

The joint Department of Justice (DOJ) and Securities and Exchange Commission (SEC) 2012 FCPA Guidance came out five years ago this month. As a commentator focusing on the doing of compliance, we should pause to once again...more

A solution to get the corporate hotline working as well as the corporate grapevine

The following interview is with Juliette Gust and Tricia Fratto, founders, Ethics Suite. RB: So, Juliette and Tricia, how about sharing some of your background? JG: Well Richard, I think I may be the only hospitality...more

S.D. Fla. Refuses To Dismiss SOX and Dodd-Frank Whistleblower Claims

The Southern District of Florida recently denied a Rule 12(b)(6) motion to dismiss a former employee’s Sarbanes-Oxley and Dodd-Frank whistleblower retaliation claims, finding that the plaintiff sufficiently alleged that she...more

Top SCOTUS Cases Tech Companies Should Watch – Fall 2017 Preview

by Fenwick & West LLP on

The upcoming U.S. Supreme Court term promises to be a big one, featuring a patent case that could be a game changer for many clients and a host of other cases that may affect how tech and life sciences companies deal with...more

AML Beneficial Ownership Register for Irish Funds – Who’s Holding the Baby?

by Dechert LLP on

If you’ve been involved in the funds industry, you will be well aware of the ever-increasing focus on anti-money laundering and “know your customer” requirements by national and supranational regulatory bodies alike. In...more

The COSO ERM Framework

by Thomas Fox on

The COSO Enterprise Risk Management (ERM) Framework was released last week. It provides an excellent structure for compliance practitioners and businesses to think through the entire lifecycle of risk management....more

N.D.N.Y. Refuses to Dismiss Dodd-Frank Whistleblower Claim

The Northern District of New York recently denied a Rule 12(b)(6) motion to dismiss a former employee’s Dodd-Frank whistleblower retaliation claim, finding that the plaintiff sufficiently alleged that he had an objectively...more

Upcoming Supreme Court Cases Worth Noting by Institutional Investors

The U.S. Supreme Court‘s 2017 term begins October 2nd and we will be tracking at least three cases relevant to institutional investors: •Cyan, Inc. v. Beaver County Employees Retirement Fund •Digital Realty Trust v....more

If a Whistleblower is Just Playing the Same Old Tune, Does the Law Protect Him?

by Dorsey & Whitney LLP on

Some of the trickiest employment decisions can involve employees who have made accusatory complaints against the company they work for. Many state and federal laws protect “whistleblowers” who try to bring to light illegal...more

Purported Whistleblower Barred from Pursuing Illinois Retaliatory Discharge Claim

The Northern District of Illinois recently dismissed an Indiana-based employee’s claims for retaliatory discharge in violation of common law, focusing on the nature of the connection (or lack thereof) to Illinois and noting...more

E.D. Virginia Tosses Dodd-Frank Whistleblower Claim for Lack of SEC Complaint

The U.S. District Court for the Eastern District of Virginia recently granted a Rule 12(b)(6) motion to dismiss a Dodd-Frank whistleblower retaliation claim brought by an ex-project manager, finding that Plaintiff failed to...more

Minnesota Supreme Court clarifies requirements for state whistleblower lawsuits

by Dorsey & Whitney LLP on

An opinion issued by the Minnesota Supreme Court on August 9, 2017, could be the basis for more lawsuits by employees accusing employers of retaliating against them for reporting alleged wrongdoing. The case is Friedlander v....more

Does Making Any Complaint About Work Now Turn An Employee Into A Possible Whistleblower Under Minnesota Law?

by Littler on

The Minnesota Supreme Court issued a unanimous opinion on August 9, 2017 in Friedlander v. Edwards Lifesciences, LLC, finding that the 2013 amendments to the Minnesota Whistleblower Act (“MWA”) abrogated the requirement that...more

What Happens When Employees Stop Speaking Up?

by Michael Volkov on

One of several difficult compliance questions facing companies revolves around reporting of employee concerns. If the number of complaints coming in on a company hotline goes down over time, is corporate misconduct going down...more

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