Searching Content indexed under Dodd-Frank, Consumer Protection Act by Steven Pearlman ordered by Published Date Descending.
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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
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
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
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
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
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
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
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
SECís 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
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
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-Frankís anti-retaliation provision, 15 U.S.C. ß78u-6(h)(1).
United States
2 Mar 2015
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
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
Third Circuit Sizes Up Dodd-Frankís 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
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
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
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
Video Interview: Discussing The SECís First Dodd-Frank Whistleblower Enforcement With LXBN TV
Following up on our recent post on the SECís first Dodd-Frank whistleblower enforcement action, I had the opportunity to discuss the subject with Colin OíKeefe of LXBN.
United States
21 Aug 2014
SEC Brings First Dodd-Frank Anti-Retaliation Case
The SEC recently issued an Order against Paradigm Capital Management, Inc. for allegedly engaging in principal trades without effective client disclosure and consent.
United States
30 Jun 2014
Dodd-Frank Anti-Retaliation Provision Limited To Complaints About Securities Laws
The Eastern District of Wisconsin ruled that an Illinois-based bank employee could not state a claim under the whistleblower protection provision in Dodd-Frank.
United States
23 Jun 2014
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