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1
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
2
Ninth Circuit Affirms Most Of Jury Verdict In Former GC's SOX Whistleblower Lawsuit
On February 26, 2019, the Ninth Circuit affirmed much of a jury's approximately $11M verdict finding that a former general counsel was discharged in retaliation for reporting alleged Foreign Corrupt
United States
15 Mar 2019
3
Federal Court Allows SOX Whistleblower Claim To Proceed But Dismisses Dodd-Frank Claim
On October 2, 2018, the U.S. District Court for the Western District of Pennsylvania federal court denied a Rule 12(b)(6) motion to dismiss a SOX whistleblower retaliation claim
United States
15 Oct 2018
4
Maryland District Court Denies Summary Judgment On CFPA Whistleblower Claim
The U.S. District Court for the District of Maryland recently denied a motion for summary judgment in a whistleblower retaliation claim under the Consumer Financial Protection Act of 2010...
United States
20 Dec 2017
5
S.D.N.Y. Dismisses Dodd-Frank Whistleblower Retaliation Claim
The Company terminated the Executives' employment, asserting that they improperly entered into self-dealing transactions.
United States
6 Mar 2017
6
CFTC Issues Record-High Whistleblower Bounty Award
On April 4, 2016, the U.S. Commodity Futures Trading Commission (CFTC) issued its third and largest award, of more than $10 million, as part of its Dodd-Frank whistleblower program.
United States
12 Apr 2016
7
OSHA Releases Final Dodd-Frank Whistleblower Regulations
OSHA recently released its final rule implementing the whistleblower provisions of the Consumer Financial Protection Act of 2010 ("CFPA").
United States
24 Mar 2016
8
Second Circuit: Dodd-Frank Protects Internal Whistleblowers
Today, the Second Circuit issued its highly anticipated decision in Berman v. Neo@Ogilvy, ruling (in a 2-1 decision) that Dodd-Frank's whistleblower protection provision applies to internal complaints
United States
11 Sep 2015
9
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
10
Cook County, Illinois Amends Human Rights Ordinance To Limit Credit Checks
In addition to Illinois, nine other states—specifically, California, Maryland, Connecticut, Hawaii, Washington, Oregon, Vermont, Colorado, and Nevada—have restricted the use of credit history for purposes of employment.
United States
1 Jun 2015
11
SEC’s Limit On Retroactivity Of Dodd-Frank Whistleblower Bounty Awards Is Reasonable, Second Circuit Holds
The Second Circuit Court of Appeals recently deferred to the SEC's determination that a tipster who provided information to the Commission before July 21, 2010, the effective date of the Dodd-Frank Act...
United States
31 Mar 2015
12
OSHA Issues Long-Awaited SOX Whistleblower Rule
On March 5, 2015, OSHA issued a long-awaited Final Rule regarding SOX whistleblower procedures and related matters.
United States
19 Mar 2015
13
Another SEC Whistleblower Amicus Brief On Whether Dodd-Frank Covers Internal Complaints
On February 6, the SEC filed its third amicus brief defending its interpretive rule on Dodd-Frank’s anti-retaliation provision, 15 U.S.C. §78u-6(h)(1).
United States
2 Mar 2015
14
Court Follows 5th Circuit Asadi Decision, Dismisses Dodd-Frank Whistleblower Claim
The U.S. District Court for the Eastern District of Wisconsin in Verfuerth v. Orion Energy Systems, Inc., No. 14-cv-352 (E.D. Wis. Nov. 4, 2014) recently ruled that the Dodd-Frank whistleblower protection provision does not protect employees who only report alleged violations of the securities laws internally
United States
13 Nov 2014
15
California Court Allows Dodd-Frank Whistleblower Claims To Proceed Despite Absence Of Complaint To SEC
The District of California ruled that the whistleblower protection provision in Dodd-Frank protects whistleblowers who report alleged violations both internally and to the SEC.
United States
5 Nov 2014
16
Third Circuit Sizes Up Dodd-Frank’s Anti-Arbitration Provision
On October 24, 2014, in Khazin v. TD Ameritrade Holding Corp, et al., the U.S. Court of Appeals for the Third Circuit heard oral argument on an issue of first impression.
United States
3 Nov 2014
17
Second Circuit To Decide Retroactivity Of Dodd-Frank Bounty Provision
The Second Circuit Court of Appeals will decide in Stryker v. SEC, whether the SEC needs to pay Dodd-Frank whistleblower bounties to tipsters.
United States
1 Oct 2014
18
Larger Rewards For Wall Street Whistleblowers May Be On The Horizon
The Obama administration will seek to remove the $1.6 million cap on rewards to whistleblowers who provide evidence of criminal conduct under FIRREA.
United States
29 Sep 2014
19
Second Circuit Affirms No Extraterritorial Application For Dodd-Frank Anti-Retaliation Provision
In Liu v. Siemens A.G., the Second Circuit affirmed that the anti-retaliation provision in Section 922 of Dodd-Frank does not apply extraterritorially.
United States
15 Sep 2014
20
Video Interview: Discussing The SEC’s First Dodd-Frank Whistleblower Enforcement With LXBN TV
Following up on our recent post on the SEC’s first Dodd-Frank whistleblower enforcement action, I had the opportunity to discuss the subject with Colin O’Keefe of LXBN.
United States
21 Aug 2014
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