Compliance Tip Of the Day: Using AI to Transform Whistleblower Response
Whistleblower Challenges and Employer Responses: One-on-One with Alex Barnard
Episode 359 -- Review of the EU Whistleblowing Directive with Alex Cotoia and Daniela Melendez
False Claims Act Insights - Can DE&I Initiatives Lead to Potential False Claims Act Liability?
False Claims Act Insights - Some FCA Whistles Are Louder Than Others
The USDOJ Antitrust Division’s Compliance Guidance
Episode 353 -- 2024 FCPA Enforcement and Compliance Review
Workplace Investigation Protocols: One-on-One with Greg Keating
Ep. 3 - The Art of Parallel Investigations (Part 2)
Episode 340: DOJ Updates Evaluation of Corporate Compliance Programs
The Labor Law Insider - Whistleblower Breaks Details of NLRB Mail Ballot Election Abuse – Part II
Episode 335 -- The New DOJ Whistleblower Program
DOJ’s New Self-Disclosure Policy and Corporate Whistleblower Awards Pilot Program
The Justice Insiders Podcast: DOJ’s Cacophony of Whistles
The Presumption of Innocence Podcast: Episode 37 - Vintage or Trendsetting? The SDNY's Whistleblower Pilot Program
Episode 321 -- Review of the EU Whistleblowing Directive wih Alex Cotoia and Daniela Melendez
Understanding the Whistleblower Pilot Program in the Southern District of New York
Episode 316 -- DOJ Announces New Whistleblower Policy
Navigating the SEC's Whistleblower Enforcement Wave: A Guide for Financial Institutions — The Consumer Finance Podcast
Navigating Employment and Separation Agreements: Lessons From Al Pacino's Serpico — Hiring to Firing Podcast
On May 20, 2025, as part of the annual “SEC Speaks” program, the leadership of the U.S. Securities and Exchange Commission’s (SEC) Division of Enforcement publicly discussed the enforcement priorities under new Chairman Paul...more
Since its establishment more than a dozen years ago, the SEC’s whistleblower program has grown substantially — in terms of the number of whistleblower tips received by the SEC, as well as the number and dollar amount of...more
We have often written about the SEC’s whistleblower program and, in particular, the success of the program with respect to detecting and preventing violations of the federal securities laws. The success of the program...more
Readers of this space will know that I was an early critic of the SEC's whistleblower program. In 2016, for example, I observed that the SEC had awarded $136 million to only 37 individuals. Earlier, I posted five theses...more
On July 16, 2020, the Third Circuit affirmed the dismissal of a former IT analyst’s whistleblower retaliation claim, holding that he lacked an objectively reasonable belief that his complaints implicated one of the enumerated...more
Last week, the Seventh Circuit Court of Appeals held that a terminated CEO’s complaints about his board of directors’ managerial decisions did not qualify as protected whistleblowing under the Sarbanes-Oxley Act of 2002...more
This is the third year we are providing our annual Top Ten list of Enforcement Highlights. This time, it occurs towards the end of the tenure of SEC Chair Mary Jo White. Sullivan & Cromwell corporate securities and capital...more
The Sarbanes-Oxley Act (SOX) provides anti-retaliation protection to whistleblowers who engage in “protected activity.” To engage in protected activity under SOX, the whistleblower must provide information to the Securities...more
In this issue: - Delaware Chancery Court Declines to Dismiss Fraud Claims Against Private Equity Fund and Directors - Agencies Amend Regulatory Capital and Liquidity Coverage Ratio Rules - FINRA Proposes...more
Sean McKessy (“McKessy”), the Securities and Exchange Commission’s (“SEC”) whistleblower chief, cautioned in-house attorneys who draft contracts incentivizing employees to report securities fraud complaints in-house rather...more
A recurring question under the federal whistleblower laws is whether plaintiffs suing their employers for retaliation have the right to a jury trial. The Dodd-Frank Wall Street Reform and Consumer Protection Act1 appears...more