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Constitutional attacks against the Securities Exchange Commission’s (the “SEC”) use of administrative proceedings have grown in strength as securities respondents across the country...
The U.S. Court of Appeals for the Second Circuit issued a significant opinion last week, reversing a lower court decision and extending the whistleblower anti-retaliation provisions of th...
Yesterday, Deputy Attorney General Sally Quillian Yates gave a speech concerning the Department of Justice’s guidance memorandum issued on September 9, 2015 that further underscores DOJ...
The United States Department of Justice has petitioned the United States Supreme Court to review a recent Second Circuit opinion that clarified what the Government must prove to establish...
The SEC, which has recently been investigating workplace agreements out of concern that they may impede whistleblowing activity protected by the Dodd-Frank Act, announced yesterday its fi...
On December 10, 2014, the U.S. Court of Appeals for the Second Circuit held that to obtain an insider trading conviction against a tippee, the Government must prove that the tippee knew b...
The Securities and Exchange Commission (“SEC”) announced a settlement on Monday, June 16, 2014 that marked its first case to protect a whistleblower under the anti-retaliation provisi...
Sarbanes-Oxley Act, Dodd-Frank and the Consumer Financial Protection Act impose overlapping anti-retaliation provisions that generally prohibit retaliation against corporate “whistleblo...
The United States Court of Appeals for the Second Circuit issued its long-awaited decision today on the appeal from Judge Jed S. Rakoff’s rejection in 2011 of the consent settlement in ...
The U.S. Court of Appeals for the Eleventh Circuit has defined, for the first time by a federal appellate court, a key statutory term in the U.S. Foreign Corrupt Practices Act (“FCPA”...