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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...

Jyotin Hamid, Mary Beth Hogan, Ada Fernandez Johnson, Ryan M. Kusmin.

Two Decisions Highlight Significant Litigation Challenges for Prosecutors and Regulators

USA - December 17 2015 The Securities & Exchange Commission ("SEC") and the Department of Justice ("DOJ") this month were handed losses in two high-profile appeals involving...

David A. O'Neil, Sean Hecker, Paul R. Berger, Bruce E. Yannett, Robert B. Kaplan.

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, Ada Fernandez Johnson.

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, Ada Fernandez Johnson, Robert B. Kaplan.

SEC enforcement actions getting up close and personal

USA - September 23 2015 Set against criticism that it has not acted aggressively enough against executives and other senior company personnel for their roles in corporate...

Y. Rupa Rao, Alan H. Paley, Matthew E. Kaplan.