Search results
Order by most recent / most popular / relevance
Results: 1-10 of 40
Sarbanes-Oxley protects employee who implicates supervisor
- Winston & Strawn LLP
- -
- USA
- -
- May 6 2013
On May 1st, the U.S. District Court for the Southern District of New York addressed an issue of first impression under the whistleblower provisions
SEC proposes whistleblower program
- Winston & Strawn LLP
- -
- USA
- -
- November 15 2010
On November 3rd, the Securities and Exchange Commission (the "SEC") published proposed Regulation 21F (the "proposed rules"), establishing a program designed to reward individuals who provide the SEC with information leading to successful enforcement actions
Rule prohibiting the arbitration of class action employment claims is approved
- Winston & Strawn LLP
- -
- USA
- -
- June 11 2012
On June 8th, the Financial Industry Regulatory Authority ("FINRA") announced SEC approval of amendments to FINRA Rule 13204 of the Code of Arbitration Procedure for Industry Disputes (Industry Code) to preclude collective action claims by employees of FINRA member firms under the Fair Labor Standards Act, the Age Discrimination in Employment Act or the Equal Pay Act of 1963 from being arbitrated under the Industry Code
Federal court applies Dodd-Frank and Sarbanes-Oxley Act whistleblower protection to employee's complaints about qualified pension plan
- Winston & Strawn LLP
- -
- USA
- -
- October 22 2012
In Kramer v. Trans-Lux Corp., No. 3:11-cv-01424-SRU, 2012 WL 4444820 (D. Conn. Sept. 25, 2012), Kramer sued his former employer for retaliatory discharge under the Sarbanes-Oxley and Dodd-Frank Acts, alleging that his repeated complaints to his supervisor, the CFO, and the board audit committee, followed by complaints to the SEC and PBGC about the actions of his fellow pension committee member and sole trustee of the pension plan, led to his termination of employment
Federal securities law preempts California's forced patronage statute
- Winston & Strawn LLP
- -
- USA
- -
- April 15 2013
On April 9th, the Ninth Circuit affirmed the dismissal of four putative class action lawsuits filed against various broker-dealers. California state
Administrative proceedings filed for failing to supervise sale of PIPEs
- Winston & Strawn LLP
- -
- USA
- -
- March 1 2010
On February 22nd, the SEC instituted settled administrative proceedings against Axiom Capital Management, Inc. for failing reasonably to supervise Gary J. Gross, a former Axiom registered representative
Arbitration panel exceeded its authority in awarding damages to former registered representatives
- Winston & Strawn LLP
- -
- USA
- -
- March 1 2010
On February 22nd, the Fourth Circuit affirmed an order vacating an arbitration panel's award to registered representatives terminated by their employer, a broker-dealer
Special master issues compensation report
- Winston & Strawn LLP
- -
- USA
- -
- March 29 2010
On March 23rd, Kenneth Feinberg, the special master reviewing executive compensation at financial firms that received Troubled Asset Relief funds, issued his rulings on 2010 executive pay packages for the 'Top 25' executives at the five remaining firms that received exceptional assistance from taxpayers: AIG, Chrysler, Chrysler Financial, GM, and GMAC
Federal district courts have jurisdiction to enforce Labor Department Sarbanes-Oxley whistleblower orders
- Winston & Strawn LLP
- -
- USA
- -
- May 24 2010
On May 20th, a federal district court addressed whether it had the jurisdiction to enforce a Department of Labor order finding that an employer had violated the whistleblower protections of the Sarbanes-Oxley Act
SEC files amicus brief in whistleblower case
- Winston & Strawn LLP
- -
- USA
- -
- July 26 2010
On July 6th, the SEC filed an amicus brief recommending that Section 806 of the Sarbanes Oxley Act be construed as applying to an employee of a private contractor, subcontractor, or agent of a public company where the employee engaged in "protected activity" with respect to that public company, and not limit Section 806's application to only those cases where the contractor, subcontractor, or agent retaliates at the direction of a public company
Current Search
- Workarea - Employment & Labor
- Workarea - Capital Markets
- Firm Name - Winston & Strawn LLP
Suggested Facets
Author
- Christine A. Edwards (1)
- Edward J. Johnsen (1)
- Jerry Loeser (1)
- Michael A. Skokna (1)
- Michael S. Melbinger (12)