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Second Circuit holds that Dodd-Frank protects internal whistleblowers from retaliation

USA - September 11 2015 The Second Circuit recently held that employees who suffer retaliation for reporting alleged securities violations internally are afforded remedies…

Sherry Jarons, Aaron F. Miner.

Department of Justice issues memorandum to federal prosecutors regarding individual accountability for corporate wrongdoing

USA - September 11 2015 For some time, government law enforcement officials have been commenting publicly that we should expect to see more cases against individuals arising…

Manvin Mayell, Michael A. Rogoff, Debra E. Schreck.

SEC files action against employer alleged to have impeded tipsters through employee confidentiality agreements

USA - April 2 2015 As the SEC increasingly relies on its Whistleblower Program to encourage people to come forward with information leading to securities enforcement…

Aaron F. Miner, Lindsay S. Moilanen.

Multinational compliance in the financial services industry

Global - March 30 2015 In recent years, particularly in the aftermath of the global financial crisis, the financial services industry has seen an unprecedented increase in…

Aaron F. Miner, Hartmut T. Renz.

S&P receives a one-year suspension for MBS ratings misconduct

USA - January 22 2015 On January 21, 2015, the US Securities and Exchange Commission brought charges for the very first time against a major rating agency, sanctioning…

Aaron F. Miner.