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Confidential Information › Settlement › Securities and Exchange Commission (SEC)

Seward & Kissel LLP

SEC Voluntarily Dismisses Action against Hedge Fund Manager over Safeguarding Confidential Information while Participating on...

Seward & Kissel LLP on

On April 7, 2024, the United States District Court for the District of Connecticut approved the Securities and Exchange Commission’s request to dismiss its action against a hedge fund manager for the manager’s alleged failure...more

Seward & Kissel LLP

Employment Litigation Roundup: December 2024

Seward & Kissel LLP on

Arizona employer cannot exclude settlement communications from former employee’s retaliation complaint - In Flores v. Rafi Law Group PLLC, the plaintiff accused her law firm employer of retaliating against her by (i)...more

Holland & Knight LLP

Shady Days: SEC Secures Another Insider Trading Stat on Shadow Trading Theory

Holland & Knight LLP on

The U.S. District Court for the Northern District of California on May 30, 2024, approved a settled final judgment against technology company Arista Networks' former chairman and CEO, Andreas "Andy" Bechtolsheim based on...more

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

Wilson Sonsini Goodrich & Rosati

Companies Should Review Employee Agreements and Policies Following SEC's Aggressive Stance on Impediments to Whistleblowing

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In two recently announced settlements, the U.S. Securities and Exchange Commission (SEC) adopted a strict interpretation of the whistleblower protections afforded under the Dodd-Frank Wall Street Reform and Consumer...more

WilmerHale

SEC Settlements Put Severance Agreements Under Increased Scrutiny

WilmerHale on

The US Securities and Exchange Commission (SEC) recently announced settlements with two companies for using severance agreements that allegedly violated Rule 21F-17. Rule 21F-17 provides that “[n]o person may take any action...more

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