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Searching Content indexed under Securities 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
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
5
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
6
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
7
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
8
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
9
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
10
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
11
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
12
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
13
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
14
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
15
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
16
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
17
Second Circuit Entertains Argument On Scope Of Dodd-Frank Whistleblower Provision
We previously posted on the Southern District of New York's December 5, 2014 ruling in this matter that internal reports are not protected under Dodd-Frank, as was held in the Asadi case out of the Fifth Circuit.
United States
7 Jul 2015
18
California District Court Holds That Internal Tipsters Are Protected Under Dodd-Frank
On May 5, 2015, in Somers v. Digital Realty Trust Inc., the U.S. District Court for the Northern District of California held that an internal complaint of an alleged securities law violation is sufficient to invoke the Dodd-Frank Act's anti-retaliation protection.
United States
29 May 2015
19
SEC Awards Compliance Officer Whistleblower Bounty Of Approximately $1.5 Million
Earlier today, the SEC announced that it would pay an unidentified compliance officer a whistleblower bounty award of between $1.4 and $1.6 million.
United States
23 Apr 2015
20
SEC Announces Enforcement Action Regarding Employee Confidentiality Agreement
On April 1, the Securities and Exchange Commission announced its first settlement of an enforcement action under the SEC's Rule 21F-17.
United States
7 Apr 2015
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