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Searching Content indexed under Litigation, Mediation & Arbitration by William McLucas ordered by Published Date Descending.
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Final Decision In Lorenzo v. SEC
The Supreme Court yesterday took a significant step to expand the universe of actors who can be held liable for a false statement under the federal securities laws.
United States
29 Mar 2019
2
Four Things Companies Should Know About the SEC's 2015 Whistleblower Report
The SEC recently published data showing significant increases in tips received under its Dodd-Frank Whistleblower Program.
United States
24 Nov 2015
3
Second Circuit Allows Whistleblower Retaliation Protection Without Reporting To SEC
Since 2011, the federal courts have focused on an inconsistency between two provisions in Section 21F of the Securities Exchange Act of 1934, as modified by Dodd-Frank.
United States
16 Sep 2015
4
SEC Applies Whistleblower Interference Rule To Corporate Confidentiality Requirement
On April 1, the US Securities and Exchange Commission issued—in a settled administrative proceeding—a cease-and-desist order in In the Matter of KBR, Inc., directing that the respondent cease violating Commission Rule 21F-17(a).
United States
28 Apr 2015
5
Top SEC Enforcement Events Of 2014
This past fiscal year, ending September 30, 2014, was an active one for the Division of Enforcement at the U.S. Securities and Exchange Commission ("SEC").
United States
27 Feb 2015
6
Recent Insider Trading Decision
On December 10, the US Court of Appeals for the Second Circuit issued an opinion in United States v. Newman that could be the most consequential insider trading decision in a generation, but for reasons that virtually no one anticipated.
United States
29 Dec 2014
7
The Top 10 SEC Enforcement Events Of 2011
2011 was an eventful year for the Division of Enforcement at the U.S. Securities and Exchange Commission ("SEC"). Our assessment of the top ten SEC Enforcement events of 2011 is discussed below.
United States
18 Jan 2012
8
SEC Whistleblower Bounties: 10 Things Companies Can Do Right Now To Stay Ahead
Under the Securities and Exchange Commission's new whistleblower program, individuals who report potential securities violations to the SEC may be entitled to a reward of between 10 and 30 percent of any monetary recovery exceeding $1 million.
United States
10 Aug 2011
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