Searching Content indexed under Securities by Lloyd Chinn ordered by Published Date Descending.
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Eastern District of Pennsylvania Grants Summary Judgment On SOX Claim
On July 18, 2019, the U.S. District Court for the Eastern District of Pennsylvania granted a defendant-employer's motion for summary judgment on a SOX whistleblower retaliation claim
United States
9 Aug 2019
Whistleblower Challenges Delayed Bounty Award
In a petition for a writ of mandamus filed on April 29, 2019 with the U.S. Court of Appeals for the D.C. Circuit, an unidentified whistleblower who claims to have tipped the SEC to alleged violations
United States
31 Jul 2019
SEC Awards Whistleblower More Than $4.5 Million
On May 24, 2019, the SEC announced payment of more than $4.5 million to a whistleblower who sent an anonymous tip to the company alleging significant wrongdoing and then submitted
United States
10 Jun 2019
SEC Awards $50 Million To Two Whistleblowers
On March 26, 2019, the SEC's Office of the Whistleblower announced two multi-million dollar awards to whistleblowers who provided the SEC ...
United States
11 Apr 2019
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
SEC Votes In Favor Of Proposal To Amend Whistleblower Rules To Comport With U.S. Supreme Court's Holding In Digital Realty Trust
On June 28, 2018, the U.S. Securities and Exchange Commission ("SEC" or "Commission") voted in an open meeting on several final rules and rule proposals that will have a material impact on the
United States
5 Jul 2018
Update On BofI Whistleblower Litigation
BofI shareholders filed a putative class action securities fraud suit when BofI's stock price fell over 30% after news broke of the whistleblower litigation.
United States
12 Jun 2018
SEC Issues $4.1 Million Award To Overseas Whistleblower
On December 5, 2017, the SEC announced a whistleblower award of more than $4.1 million to an overseas former company insider.
United States
13 Dec 2017
U.S. Supreme Court To Review Scope Of "Whistleblower" Under Dodd-Frank
Having passed on the opportunity to address this issue in Verble v. Morgan Stanley Smith Barney, LLC., No. 16-946 (6th Cir. 2017), the U.S. Supreme Court has now decided to resolve this important question.
United States
5 Jul 2017
Ninth Circuit - Dodd-Frank Protects Internal Whistleblowers
The Ninth Circuit thus aligned itself with the Second Circuit on this issue while the Fifth Circuit came to the opposite conclusion.
United States
14 Mar 2017
SEC Issues Another Multi-Million Dollar Whistleblower Award
Less than one month after issuing a $22 million award, the SEC issued another multi-million dollar whistleblower award on September 20, 2016. The SEC's most recent award exceeded $4 million
United States
26 Sep 2016
SEC Continues To Scrutinize Separation Agreements
On August 16, 2016, the SEC announced that Health Net Inc. (Company) agreed to pay a $340,000 penalty to settle charges that it violated Rule 21F-17 by using severance agreements that allegedly prohibited its employees from receiving whistleblower awards from the SEC.
United States
18 Aug 2016
SEC Affirms Denial Of Bounties To Three Purported Whistleblowers
On July 19, 2016, the SEC issued an order upholding the SEC Claims Review Staff's ("CRS") Preliminary Determination denying three claims for whistleblower awards.
United States
22 Jul 2016
SEC Whistleblower Chief Sean McKessy To Leave, Agency Announces
The SEC's most recent award was a stunning $17 million, announced on June 9, 2016.
United States
11 Jul 2016
SEC Issues $17 Million Whistleblower Award
The SEC specifically credited the "company insider" with allowing enforcement staff "to conserve time and resources in the investigation, and help[ing] staff to gather evidence supporting the [SEC's] charges."
United States
13 Jun 2016
No Bounty For Purported Tipster
This order provides insight into a whistleblower tip that essentially goes nowhere, which is what happens to the overwhelmingly vast majority of them.
United States
6 Jun 2016
SEC Issues Two Multi-Million Dollar Whistleblower Awards
Over the past week, the U.S. Securities and Exchange Commission ("SEC") announced two multi-million dollar awards to whistleblowers who provided the SEC with information in ongoing investigations.
United States
18 May 2016
SEC Intervenes In Former In-House Attorney's Whistleblower Lawsuit
On March 28, 2016, the U.S. Securities and Exchange Commission ("SEC") filed an amicus brief in a whistleblower lawsuit brought by a former in-house attorney against Vanguard Group (the "Company").
United States
4 Apr 2016
Tennessee District Court Limits Scope Of Dodd-Frank Whistleblower Claim
The Eastern District of Tennessee recently dismissed whistleblower claims, finding that the Plaintiff was not entitled to protection under Sarbanes-Oxley, Dodd-Frank, or the False Claims Act.
United States
20 Dec 2015
Highlights Of SEC's 2015 Annual Whistleblower Report
In its 2015 report, the SEC highlights that since the inception of the whistleblower program in 2011, the Commission has paid more than $54 million in awards to a total of 22 whistleblowers, with more than $37 million paid in 2015 alone.
United States
23 Nov 2015
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