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Goodwin Procter LLP
On November 14, 2023, the SEC announced its enforcement results for fiscal year 2023, which ended on September 30, reporting the following key metrics and highlights...
Ogletree, Deakins, Nash, Smoak & Stewart
On October 31, 2023—Halloween—the National Labor Relations Board (NLRB) and the U.S. Department of Labor's Occupational Safety and Health Administration (OSHA) announced a "scary"...
Proskauer Rose LLP
The Commodity Futures Trading Commission ("CFTC") recently released its statutorily mandated 2023 Annual Report detailing the status of its whistleblower program for the fiscal year ending on September 20, 2023.
Cooley LLP
The SEC has announced its Enforcement stats for fiscal 2023, which revealed that the SEC filed 784 total enforcement actions, up 3% from the 760 filed in fiscal 2022.
Littler Mendelson
The SEC continues to review non-disclosure agreements and other confidential business information provisions of publicly traded companies to ensure whistleblowers are not restricted from freely communicating with the agency about potential violations of securities laws or SEC rules.
Littler Mendelson
The SEC recently issued imposed significant and costly sanctions against companies that require employees to sign non-disclosure agreements containing certain language either limiting...
Ford & Harrison LLP
Let's say you're the CEO of Fortunato Pharmaceuticals, a multi-billion-dollar company that's been owned and operated by your family for generations. Your kids all lead their own, individual subsidiaries...
K&L Gates
The United States Supreme Court recently heard oral argument in a case arising under the whistleblower provisions of the Sarbanes-Oxley Act of 2002 (SOX), presenting the question of who must prove...
Ogletree, Deakins, Nash, Smoak & Stewart
The U.S. Securities and Exchange Commission (SEC) recently settled charges alleging that a company's employee separation agreements restricted former employees from...
Shaw Law Group
Halloween season is a good time for spooky stories, so let's talk about a subject that strikes fear in the hearts of employers everywhere: retaliation claims.
Foley & Lardner
Happy Halloween! In honor of the holiday, we are taking our compliance message in a bit of a . . . spooky direction.
Reed Smith
In a series of press releases throughout September 2023, the Securities and Exchange Commission (SEC) announced enforcement orders against three separate companies...
Proskauer Rose LLP
The bulk of these actions have focused on language in employee-facing agreements that allegedly discouraged such reporting.
Proskauer Rose LLP
On September 28, 2023, the U.S. District Court for the Southern District of California issued two separate orders in a long-running SOX whistleblower lawsuit.
Proskauer Rose LLP
On September 25, 2023, the U.S. Court of Appeals for the Eleventh Circuit affirmed the Department of Labor's Administrative Review Board's rejection of an employee's...
Holland & Knight
In this post, we provide an overview of the three actions and offer some key takeaways from the SEC's orders.
Womble Bond Dickinson
In September, the U.S. Securities and Exchange Commission (the "SEC") announced the settlement of three enforcement actions for violations of SEC whistleblower protection laws.
Cooley LLP
Recent Securities and Exchange Commission enforcement actions have zeroed in on whistleblower protections in employee separation agreements, signaling that now may be the time for companies...
Akin Gump Strauss Hauer & Feld LLP
A survey conducted by the United Kingdom Financial Conduct Authority (FCA) in early 2022, but published only in 2023,1 has revealed the stark reality that the regulator is not doing enough for whistleblowers.
Goodwin Procter LLP
On Friday, September 29, 2023, the Securities and Exchange Commission (the "SEC") issued an order that censured D. E. Shaw & Co., L.P., a registered investment advisor in New York, and assessed a
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