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Searching Content indexed under Securities by Lisa Noller ordered by Published Date Descending.
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A Review Of Recent Whistleblower Developments - 15 April 2019
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business.
United States
1 May 2019
2
A Review Of Recent Whistleblower Developments - 28 January 2019
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business.
United States
31 Jan 2019
3
A Review of Recent Whistleblower Developments - 17 April 2018
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business.
United States
19 Apr 2018
4
Only Persons Who Report Security Violations To The SEC Are Whistleblowers Under Dodd-Frank: Supreme Court Decides Digital Realty Trust Case
The Supreme Court in Digital Realty Trust narrowed the definition of a whistleblower under the Dodd-Frank Act only to those persons who have provided information of a securities laws violation to the U.S. Securities and Exchange Commission (SEC), resolving a split between the Fifth and Ninth Circuits. Digital Realty Trust, Inc. v. Somers, ___ U.S. ___, No. 16-1276 (Feb. 21, 2018).
United States
23 Feb 2018
5
A Review Of Recent Whistleblower Developments - 12 April 2016
The extent to which the SEC would reward whistleblowers, who themselves engaged in wrongdoing, has been the subject of considerable debate since the SEC promulgated its Dodd-Frank Act whistleblower rules in 2011.
United States
14 Apr 2016
6
Second Circuit Denies Petition To Reconsider Newman Decision
The ruling applies especially to tippees several generations removed from the company insider.
United States
8 Apr 2015
7
SEC Brings Enforcement Proceeding Relating To Confidentiality Agreements That May Stifle Whistleblowers
After repeated public statements warning companies that might seek to stifle whistleblowers, the SEC has brought its first enforcement action relating to language in confidentiality agreements.
United States
7 Apr 2015
8
Knowledge Of Benefit Required To Convict Insider Trading Tippees
In its important ruling on what the government must prove in a criminal insider trading prosecution, the Second Circuit reversed the convictions of two portfolio managers — throwing out their cases completely, with no new trial.
United States
15 Dec 2014
9
Appeals Court Restricts Dodd-Frank Whistleblower Protections
The plaintiff, who was working in the Middle East, was fired after he complained internally that GE Energy's actions in Iraq may have violated the Foreign Corrupt Practices Act.
United States
22 Jul 2013
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