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Tag Archives: Dodd-Frank Act

Former JPMorgan VP Sues Company, Claiming Whistleblower Retaliation

A former securities broker with JPMorgan & Co. is accusing the company of terminating his employment after he reported potential violations of the Dodd-Frank Act. According to the former employee’s lawsuit, his supervisors also punished him after he refused to help erase records that showed the company lied to customers about the rates of return […]

Dodd-Frank Whistleblower Program 2016 Report Shows Rise in Activity

On November 15, the U.S. Securities and Exchange Commission (SEC) issued its yearly report on the Office of the Whistleblower, created through the Dodd-Frank Act of 2010. Under the program, anyone who submits original information that directly results in enforcement actions for securities violations leading to fines of more than $1 million is eligible for […]

SEC Clarifies Discrepancy in Whistleblower Definitions

An important milestone in U.S. whistleblower protections came last August when the Securities and Exchange Commission (SEC) clarified some existing discrepancies in what constitutes “whistleblowers” and the protections afforded to them. There had previously been some questions as to whether whistleblowers were entitled to protection under the Dodd-Frank Wall Street Reform and Consumer Protection Act […]

Why Do So Many Courts Have Differing Opinions on Whistleblower Protections Under Dodd-Frank?

The Dodd-Frank Act of 2010 contains a number of important rules regarding the protection of employees who blow the whistle on corporate wrongdoing. Numerous corporations have tried to strike down these rules by lobbying the Securities and Exchange Commission (SEC), but the federal agency realizes just how important it is to have comprehensive whistleblower protections […]

SOX Whistleblower Protection Still Important Remedy in Wake of Berman v. [email protected]

The recent Berman v. [email protected] case showed us that the whistleblower protections afforded in the Sarbanes-Oxley Act are still extremely important and relevant, despite many predictions that the whistleblower provision of the Dodd-Frank Act would make them obsolete. Claims under SOX remain an excellent remedy for whistleblowers who have been victims of retaliation in the […]

A Roundup of Recent Important Whistleblower Cases

Are you trying stay up-to-date with the latest cases and happenings in the field of whistleblower law? We have compiled a few important cases that might piqué your interest: Whistleblowers split $1.8 Million in FCA settlement in for-profit school case Five whistleblowers recently alerted authorities to a chain of for-profit schools admitting students who were […]

SEC Offers More Guidance on How to Interpret Whistleblower Rules

In early August, the Securities and Exchange Commission (SEC) issued some clarification on rules regarding internal whistleblower reporting. According to the agency, whistleblowers are to be protected under the Dodd-Frank Act when they report misconduct both internally and directly to the SEC. This is the first formal clarification the SEC has issued, and it clears […]

A Brief Overview of the New Dodd-Frank CEO Pay Ratio Disclosure Rules

On August 5, the Securities and Exchange Commission (SEC) officially approved what has been called the “CEO pay ratio disclosure rule” under the Dodd-Frank Act. This new rule will require the majority of publicly traded companies to openly disclose how much their CEOs make in relation to the median income of the company’s other employees. […]

SEC Backs Protections in Place for Internal Whistleblowers

Some new guidance provided by the Securities and Exchange Commission (SEC) this summer gave some additional reinforcement to the agency’s stance that whistleblowers who report misconduct through their company’s internal channels rather than immediately going to the SEC are still protected by the Dodd-Frank Act’s retaliation provisions. However, there is still some debate over the […]

Major Recent Developments in International Anti-Corruption

There have been some significant developments in the world of international anti-corruption laws in recent months. The following are a few examples: Greater transparency in corporate charging decisions. Assistant Attorney General of the Criminal Division of the Department of Justice Leslie Caldwell recently made a promise to increase transparency in the way the division issues […]

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