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Searching Content indexed under Securities by Mike Delikat ordered by Published Date Descending.
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Regulators Offer Insights Into SEC, CFTC, And OSHA Whistleblower Program's Trends And Priorities
On July 16, 2019, three prominent whistleblower law regulators spoke at PLI's Corporate Whistleblowing in 2019, which was co-chaired by Orrick partners Mike Delikat and Renee Phillips.
United States
6 Aug 2019
2
Employers: What FINRA's Cryptocurrency Complaint Signifies For You
Last week, the Financial Industry Regulatory Authority ("FINRA") filed its first disciplinary action involving cryptocurrencies, conforming with its stated 2018 goal of monitoring and supervising
United States
27 Sep 2018
3
Employers: What FINRA's Cryptocurrency Complaint Signifies For You
Last week, the Financial Industry Regulatory Authority ("FINRA") filed its first disciplinary action involving cryptocurrencies ...
United States
25 Sep 2018
4
The SEC Ends The Summer With Another Bountiful Award Of Over $54 Million To Two Whistleblowers
On September 6, the SEC issued awards totaling more than $54 million to two whistleblowers who provided critical information and continued assistance to the agency in an enforcement action.
United States
11 Sep 2018
5
SEC Bounty Hunters Take Heart: SEC Fines Company $265,000 For Using Severance Agreements That Provided A Waiver Of Any Monetary Recovery For Filing A Tip
Today, the SEC announced that an Atlanta-based company, BlueLinx Holdings, is settling charges that its severance agreements contained provisions that it in its view might impede employees from communication...
United States
17 Aug 2016
6
Securities Industry Employment Arbitration Paper
In the securities industry, the majority of all employment disputes are resolved through binding arbitration.
United States
2 Jun 2016
7
For Whom The Whistle Blows: SEC Whistleblower Office Issues Its 2015 Annual Report
The SEC released its Fiscal Year 2015 Annual Report (the "Report") to Congress on the Dodd-Frank Whistleblower Program on November 16, 2015.
United States
26 Nov 2015
8
SEC Makes Good On Its Promise To "Un-Muzzle" Employees From Cooperating In SEC Investigations
The SEC on April 1, 2015 commenced a cease-and-desist action against KBR alleging its confidentiality agreements violated Dodd-Frank’s whistleblower regulations.
United States
15 Apr 2015
9
Corporate Whistleblowing: Key Issues In Responding To Possible Violations
The need to detect and investigate reported allegations of wrongdoing within a corporation has long been a fact of corporate life.
United States
21 Jan 2015
10
SEC Puts Their Money Where Their Mouth Is: $30 Million Awarded To Whistleblower
On September 22, 2014, the SEC announced its largest whistleblower award to date under its Dodd-Frank whistleblower bounty program.
United States
10 Oct 2014
11
SEC Charges Hedge Fund Adviser With Whistleblower Retaliation Under Dodd-Frank
On June 16, 2014, the SEC issued its first-ever charge of whistleblower retaliation under section 922 of the Dodd-Frank Act.
United States
25 Jun 2014
12
SEC Issues Huge Bounty Award Of $14 Million To Whistleblower Under Dodd-Frank
Today the SEC announced that it is issuing a whistleblower award of over $14 million to a whistleblower who provided information that resulted in the recovery of investor funds.
United States
4 Oct 2013
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