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Recent Decisions Create Further Uncertainty on Question of Whether Internal Reporting Triggers DoddFrank Whistleblower AntiRetaliation Protection

USA - January 20 2016 There is uncertainty under the law on an important question relating to the antiretaliation provision of the Dodd-Frank Act. Specifically, the courts...

Jonathan R. Tuttle, Jyotin Hamid, Mary Beth Hogan, Ryan M. Kusmin.


Insider Trading & Disclosure Update- December 2015

USA - December 11 2015 On October 5, 2015, the Supreme Court of the United States denied certiorari in United States v. Newman, leaving the Second Circuit’s decision...

Morgan J. Hayes, Miranda H. Turner, Nina Kostyukovsky, Matthew E. Kaplan, Jonathan R. Tuttle.


SEC settles action concerning adequacy of policies to prevent dissemination of material nonpublic information

USA - December 2 2015 On November 24, 2015, the Securities and Exchange Commission (the "SEC") announced a settled action against Marwood Group Research LLC ("Marwood"), a...

Kenneth J. Berman, Paul R. Berger, Matthew E. Kaplan, Jonathan R. Tuttle, Robert B. Kaplan.


Second Circuit creates circuit split on the question of whether internal reporting triggers whistleblower antiretaliation protection under Dodd-Frank

USA - September 11 2015 In a much-anticipated decision, a divided panel of the Second Circuit Court of Appeals yesterday held in Berman v. NeoOgilvy LLC that internal...

Jonathan R. Tuttle, Jyotin Hamid, Mary Beth Hogan, Ryan M. Kusmin.


SEC brings first-of-its-kind enforcement action for agreement that interferes with whistleblowing

USA - April 28 2015 Approximately a year ago, the Chief of the U.S. Securities and Exchange Commission's ("SEC's") Office of the Whistleblower, Sean McKessy, publicly...

Jonathan R. Tuttle, Jyotin Hamid, Mary Beth Hogan, Ryan M. Kusmin.