Several important matters related to whistleblower actions occurred toward the close of 2015, including the first instance of a director being held individually liable for retaliation, a dismissal of the Berman v. Neo@Ogilvy...more
1/8/2016
/ Anti-Retaliation Provisions ,
CFTC ,
Confidentiality Agreements ,
Corporate Counsel ,
Dodd-Frank ,
Foreign Corrupt Practices Act (FCPA) ,
Internal Reporting ,
Petition for Writ of Certiorari ,
Sarbanes-Oxley ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblower Protection Policies
Second Circuit Splits from Fifth Circuit on Whistleblower SEC Reporting Obligations
On September 10, 2015, the Second Circuit in Berman v. Neo@Ogilvy LLC, 2015 U.S. App. LEXIS 16071 (2d Cir. 2015), ruled that...more
10/5/2015
/ Anti-Retaliation Provisions ,
Barnes and Noble ,
Confidentiality Agreements ,
Corporate Counsel ,
Dodd-Frank ,
Enforcement Actions ,
Fraud ,
Internal Reporting ,
Interpretive Rule ,
OSHA ,
Protected Activity ,
Reversal ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Termination ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
SEC Awards Another Whistleblowing Compliance Officer -
On April 22, 2015, the Securities and Exchange Commission (SEC) announced an award between $1.4 and $1.6 million to a compliance officer who provided information...more
7/8/2015
/ Attorney-Client Privilege ,
Certificates of Compliance ,
Chief Compliance Officers ,
Compliance ,
Confidentiality Agreements ,
Enforcement Actions ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Internal Investigations ,
IRS ,
Retaliation ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Tax Court ,
Upjohn Warnings ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers ,
Wrongful Termination