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National Labor Relations Board › Securities and Exchange Commission (SEC) › Enforcement Actions

The National Labor Relations Board is an independent agency of the United States federal government created in 1935 as part of the National Labor Relations Act. The Board consists of five presidentially-appointed... more +
The National Labor Relations Board is an independent agency of the United States federal government created in 1935 as part of the National Labor Relations Act. The Board consists of five presidentially-appointed members, who are charged with overseeing union elections and hearing complaints of unfair labor practices under the NLRA.    less -
Proskauer - Labor Relations Update

Two Blockbuster U.S. Supreme Court Decisions May Spell End of NLRB’s Expansion of Reach of NLRA as Well as How Agency Prosecutes...

Proskauer - Labor Relations Update on

The U.S. Supreme Court issued two blockbuster decisions last week, both of which likely will curtail the ability of federal agencies, including the NLRB, to prosecute cases and expand the law. In a 6-3 decision announced...more

Morrison & Foerster LLP

The End of SEC Administrative Proceedings? The Supreme Court’s Jarkesy Decision Prohibits the Agency’s Use of ALJs in Enforcement...

Morrison & Foerster LLP on

On June 27, 2024, the Supreme Court decided in SEC v. Jarkesy that where the Securities and Exchange Commission (“SEC”) brings enforcement actions for civil penalties, it must do so in the federal courts, as opposed to before...more

Ogletree, Deakins, Nash, Smoak & Stewart,...

Supreme Court Finds SEC’s In-House Adjudicative Proceedings Violated Seventh Amendment Right to Jury Trial

Ogletree, Deakins, Nash, Smoak & Stewart,... on

On June 27, 2024, the Supreme Court of the United States held that defendants in securities fraud cases brought by the U.S. Securities and Exchange Commission (SEC) are entitled to a jury trial under the Seventh Amendment—a...more

Proskauer - Whistleblower Defense

NLRB Permits Confidentiality Restrictions During Internal Investigations

Proskauer - Whistleblower Defense on

As reported in Proskauer’s Labor Relations Update blog, the NLRB issued an important opinion on December 17, 2019 relating to employer rules requiring confidentiality from employees during workplace investigations. Apogee...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

Incoming Goldman CEO David Solomon has chosen his top deputies, settling on investment banking vets John Waldron (49) and Stephen Scherr (54) as his president/COO and CFO, respectively, and signaling the firm’s shift away...more

Manatt, Phelps & Phillips, LLP

Employment Law - December 2015

Manatt, Phelps & Phillips, LLP on

NLRB Goes One Step Further, Holds Optional Waiver of Class Action Arbitrations Illegal - Why it matters - Reiterating its stance against arbitration agreements that prohibit class or collective actions, a panel of...more

Akerman LLP - HR Defense

Expanded Whistleblower Protections Impact Confidentiality Policies and Agreements

Akerman LLP - HR Defense on

All employers should review their confidentiality policies and agreements to ensure adequate protections for whistleblowers in the wake of recent actions by both the Securities and Exchange Commission (“SEC”) and the National...more

Baker Donelson

Can You Keep a Secret? The SEC Says to Ask Carefully

Baker Donelson on

Employers have a lot to be worried about. Employees are given access to trade secrets, customer lists, financial accounts, and other highly sensitive, confidential information. Most employers attempt to deter improper use of...more

Williams Mullen

NLRB and SEC Impose Restrictions on Workplace Policies and Confidentiality Agreements

Williams Mullen on

During the last few years, the National Labor Relations Board (“NLRB”) has been aggressively reviewing employers’ confidentiality policies, as well as other work rules regarding, among other things, social media, use of the...more

Seyfarth Shaw LLP

SEC Cracks Down on Agreement Requiring In-House Reporting of Fraud Complaint

Seyfarth Shaw LLP on

The Securities and Exchange Commission (SEC) announced today that it had made good on its prior promises to take a hard look at employment agreements and policies that could be viewed as attempting to keep securities fraud...more

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