• Home
  • About
  • Webcasts
  • ‘Enforcement 40’ for 2020
  • Enforcement Hall of Fame
  • Contact
Securities Docket
Securities-Docket-Leaderboard_9Sec
  • Class Actions
  • Criminal
  • Global
  • People
  • SD Insider
  • SEC
  • Video
  • Subscribe by email
  • Subscribe
Browse: Home / Retaliation

Retaliation

SEC Policy Incentivizing Whistleblowers Weakened by Ruling, Lawyers Say – WSJ

By Securities Docket on May 31, 2019, 7:37 am

But whistleblower lawyers don’t expect many more awards born from the SEC’s policy incentivizing internal reporting. The Supreme Court last year issued an opinion in a case involving Digital Realty Trust Inc. that said antiretaliation protections for whistleblowers provided by the Dodd-Frank Wall Street Reform and Consumer Protection Act extend only to those who provide […]

Posted in SEC, Top | Tagged Retaliation, Whistleblowers

SEC Cracks Down on Employer “Pretaliation” – Lexology

By Securities Docket on September 16, 2016, 8:49 am

As the SEC’s latest enforcement actions demonstrate, the SEC interprets the prohibition against restricting an employee’s ability to provide information about a possible securities violation to the SEC Section 21F-17 quite broadly. Thus, as the law on this topic develops, employees should be vigilant of the prohibitions that their employer’s place on their ability to […]

Posted in SEC, Top | Tagged Retaliation

SEC Has Laser Focus on Severance Agreements | Bloomberg BNA

By Securities Docket on August 18, 2016, 12:25 pm

The Securities and Exchange Commission is serious about stamping out problematic severance agreements. In less than one week, two companies have had to pay fines to resolve commission allegations that their severance agreements violated whistle-blower protection rules. via SEC Has Laser Focus on Severance Agreements | Bloomberg BNA.

Posted in SEC, Top | Tagged Retaliation, Whistleblowers

Court: Whistleblowers Protected, SEC Reporting or Not | Compliance Week

By Securities Docket on September 12, 2015, 7:37 am

A federal appeals court on Thursday ruled that employees are covered by anti-retaliation provisions for whistleblowers provided by the Dodd-Frank Act even if they don’t file a report with the Securities and Exchange Commission. via Court: Whistleblowers Protected, SEC Reporting or Not | Compliance Week

Posted in SEC, Top | Tagged Retaliation, Whistleblowers

$600,000 to Man in Whistleblower Retaliation Case | Compliance Week

By Securities Docket on April 29, 2015, 8:37 am

In June 2014, the Securities and Exchange Commission charged an Albany, N.Y.-based hedge fund advisory firm, Paradigm Capital Management, with engaging in prohibited principal transactions and then retaliating against the employee who reported the trading activity to the Commission…. On Tuesday, the SEC announced that the whistleblower will receive a maximum whistleblower award payment of […]

Posted in SEC, Top | Tagged Retaliation, Whistleblowers

Three Thoughts about the SEC’s First “Pretaliation” Case | Cady Bar the Door

By Securities Docket on April 13, 2015, 7:46 am

McKessy has been warning for almost a year that the Commission was considering filing cases to enforce this provision.  Specifically, he had in mind companies that use overly restrictive language in confidentiality agreements with current or departing employees to prevent those employees from reporting corporate misconduct to the SEC.  Smart corporate counsel have been thinking […]

Posted in SEC, Top | Tagged Retaliation

SEC Brings First Action Alleging Whistleblower ‘Pre-taliation’ | Compliance Week

By Securities Docket on April 1, 2015, 3:59 pm

Today, the SEC announced that it has filed its first enforcement action against a company for what the agency has previously labeled “pre-taliation,” i.e., using confidentiality agreements or other agreements to potentially stifle the whistleblowing process. via SEC Brings First Action Alleging Whistleblower ‘Pre-taliation’ | Compliance Week

Posted in SEC, Top | Tagged Retaliation, Whistleblowers

Questions Still Remain About the Protection of Whistleblowers | Compliance Week

By Securities Docket on August 20, 2014, 11:43 am

As the Securities and Exchange Commission’s Office of the Whistleblower continues to gain traction in its third full year in operation, two important questions about the ability to protect whistleblowers have surfaced: (1) the extent to which whistleblowers’ identities can actually be protected; and (2) the circumstances in which whistleblowers can claim they have been […]

Posted in SEC, Top | Tagged Retaliation, Whistleblowers

Ruling Leaves Cloud on Whistleblowers – WSJ

By Securities Docket on August 19, 2014, 11:16 am

U.S. authorities have reached beyond the country’s borders to extract huge settlements from foreign firms like BNP Paribas SA, Total SA  and Credit Suisse Group AG. But a new court ruling may mean U.S. law doesn’t extend far enough to protect certain whistleblowers who flag such violations. via Ruling Leaves Cloud on Whistleblowers – WSJ

Posted in SEC, Top | Tagged Retaliation, Whistleblowers

SEC Brings First Whistleblower Retaliation Enforcement Action – Compliance Week

By Securities Docket on June 16, 2014, 4:01 pm

With the first case under its new authority to bring anti-retaliation enforcement actions, the Securities and Exchange Commission on Monday charged an Albany, N.Y.-based hedge fund advisory firm with engaging in prohibited transactions and then seeking retribution against the employee who reported the illicit trading activity. via SEC Brings First Whistleblower Retaliation Enforcement Action – […]

Posted in SEC | Tagged Retaliation, Whistleblowers

‘Enforcement 40’ for 2020

Securities-Docket_Medium-Rectangle_CaseStudyArrow

Our Sponsors

Securities-Docket_260x125_14Sec Ankura 260x125

Join Us On LinkedIn

Join the Securities Litigation and Enforcement Group on LinkedIn

Archives

Copyright © 2021 Securities Docket.

Powered by WordPress and Hybrid.