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Searching Content indexed under Corporate/Commercial Law by Steven Pearlman ordered by Published Date Descending.
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1
SEC Awards Joint Whistleblowers $3 Million Even Though Information Was Not Voluntarily Given
On June 3, 2019, the SEC's Office of the Whistleblower announced a $3 million award to two whistleblowers who provided the SEC with information that led it to investigate
United States
1 Jul 2019
2
House Financial Services Committee Passes Bill To Expand Dodd-Frank Whistleblower Protection To Internal Whistleblowers
On May 8, 2019, the House Committee on Financial Services passed H.R. 2515, the Whistleblower Protection Reform Act of 2019.
United States
13 Jun 2019
3
Fifth Circuit Affirms Summary Judgment On SOX Whistleblower Claim
On February 15, 2019, the Fifth Circuit affirmed the grant of summary judgment in favor of Andeavor Corporation f/k/a Tesoro Corporation on a SOX whistleblower claim ...
United States
13 Mar 2019
4
Proskauer Delivers #MeToo Webinar With EEOC Commissioner Feldblum
On September 5th, Proskauer partner Steve Pearlman had the honor of delivering a webinar with EEOC Commissioner Chai Feldblum, which Proskauer senior associate Danielle Moss moderated.
United States
1 Oct 2018
5
SEC Issues More Than $54 Million To Two Whistleblowers
On September 6, 2018, the SEC Office of the Whistleblower awarded $39 million to one whistleblower and $15 million to another.
United States
12 Sep 2018
6
Ninth Circuit Affirms Dismissal Of Dodd-Frank Whistleblower Case, Using Securities Fraud Standard
The Ninth Circuit recently affirmed a grant of summary judgment in an employer's favor, dismissing a SOX and Dodd-Frank whistleblower retaliation case based on the plaintiff's lack of an objectively reasonable belief of violations of securities law.
United States
4 Aug 2017
7
SEC Issues Award To Whistleblower Despite Culpability And Delay
On July 27, 2017, the SEC announced that it was paying a $1.7 million bounty award to a whistleblower, even though the whistleblower: (1) had some culpability in the fraud; (2) unreasonably delayed reporting the fraud; and (3) failed to comply with a Dodd-Frank rule requiring whistleblowers to submit inside information in writing in certain circumstances.
United States
4 Aug 2017
8
N.D. Illinois Dismisses Dodd-Frank Whistleblower Claim For Lack Of Complaint To The SEC
Plaintiff worked as a supervisor at the Chicago Stock Exchange's Market Regulation Trading Examinations Unit.
United States
14 Jun 2017
9
Maryland District Court Dismisses SOX and Dodd Frank Whistleblower Claims
On March 1, 2017, the District of Maryland dismissed a Dodd Frank whistleblower retaliation claim because the plaintiff failed to allege that he had complained directly to the SEC about a violation of securities laws, and dismissed the plaintiff's SOX whistleblower retaliation claim because the complaint did not allege that the employer was a publically traded company.
United States
9 Mar 2017
10
E.D. Pennsylvania Limits Protected Activity Under SOX
In Westawski v. Merck & Co., No. 14-cv-3239 (E.D. Pa. Oct. 18, 2016), the Eastern District of Pennsylvania granted Defendant Merck & Co. (Company) summary judgment...
United States
2 Nov 2016
11
SDNY Refuses To Dismiss Executive's Dodd-Frank Retaliation Claim
On August 24, 2016, the Southern District of New York denied Defendants' motion to dismiss a Dodd-Frank whistleblower retaliation claim brought by its former co-CEO and Executive Chairman...
United States
27 Sep 2016
12
E.D. Wisconsin: SOX Does Not Protect Whistleblower Complaints Based On Immaterial, Routine Events
On August 25, 2016, the Eastern District of Wisconsin granted the Defendant's Motion for Summary Judgment on its former CEO's SOX whistleblower claim.
United States
27 Sep 2016
13
SEC Penalizes Company For Severance Language Purportedly Impeding Complaints
The Company agreed to pay a penalty of $265,000 and revise its agreements.
United States
15 Aug 2016
14
S.D.N.Y. Dismisses SOX and Dodd-Frank Whistleblower Claims For Lack Of Protected Activity
On June 22, 2016, Judge Daniels of the Southern District of New York dismissed SOX and Dodd-Frank whistleblower claims, ruling that Plaintiff's alleged internal complaints did not constitute protected activity, as they did not implicate securities laws, mail fraud, or wire fraud.
United States
29 Jun 2016
15
Eighth Circuit Deals Significant Blow To SOX And Dodd-Frank Whistleblowers
After his employment was terminated, Plaintiff filed SOX and Dodd-Frank whistleblower retaliation claims in the District of Minnesota.
United States
15 Jun 2016
16
Comment Letter Requests SEC Require Public Companies To Furnish Gender Pay Ratio Data To Investors
In a February 1, 2016 comment letter to the Securities and Exchange Commission ("SEC"), Pax Ellevate Management LLC Chair Sallie Krawcheck and Chief Executive Officer Joseph F. Keefe requested that the SEC take steps to require companies to annually disclose gender pay ratio information to investors.
United States
30 Mar 2016
17
Top 10 Whistleblowing And Retaliation Events Of 2015
Here are the top 10 events this year that altered the landscape of whistleblower law and heightened the risks.
United States
10 Dec 2015
18
SEC Pays Whistleblower Bounty Award Exceeding $325,000
On November 4, 2015, the SEC announced that it would pay a former investment firm employee a whistleblower bounty award totaling more than $325,000.
United States
10 Nov 2015
19
SEC Pays More Than $3 Million Whistleblower Award
On July 17, 2015, the SEC announced a whistleblower award of more than $3 million to a "company insider" whose information assisted the SEC in unveiling a "complex fraud."
United States
24 Jul 2015
20
Cal. Court Limits Protected Activity Under Dodd-Frank Whistleblower Provision
Plaintiff, a CPA who was employed by the Company, allegedly complained to his managers about various purported errors in the Company's accounting practices.
United States
9 Jul 2015
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