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Results:1-10 of 72

Bridging the Weeks by Gary DeWaal: February 12 to 23, and February 26, 2018 (Whistleblowers; AML Staffing; Unlicensed Crypto Exchange; FCA-CFTC FinTech Cooperation)
  • Katten Muchin Rosenman LLP
  • USA
  • February 25 2018

The United States Supreme Court made clear that, to take advantage of a key anti-retaliation protection of the Dodd-Frank Wall Street Reform and


Former Employees of Major Accounting Firm Subject to Criminal Charges and SEC Enforcement Action for Alleged Scheme to Use Nonpublic PCAOB Information for Firm’s Benefit
  • Katten Muchin Rosenman LLP
  • USA
  • January 28 2018

Five persons were criminally charged in a federal court in New York City with engaging in a scheme to illicitly obtain confidential information from


SEC Approves PCAOB Rule to Require Enhanced Audit Reports
  • Katten Muchin Rosenman LLP
  • USA
  • October 27 2017

On October 23, the Securities and Exchange Commission approved new audit reporting standard, AS 3101, proposed by the Public Company Accounting


Final Report Issued by SEC-Government-Business Forum on Small Business Capital Formation
  • Katten Muchin Rosenman LLP
  • USA
  • April 28 2017

In March 2017, the Government-Business Forum on Small Business Capital Formation of the Securities and Exchange Commission published its final report


SEC Proposes Amendments to Definition of ‘Smaller Reporting Company’
  • Katten Muchin Rosenman LLP
  • USA
  • July 8 2016

On June 27, the Securities and Exchange Commission proposed amendments to the definition of "smaller reporting company," which would increase certain


Supreme Court limits scope of SOX anti-shredding provision
  • Katten Muchin Rosenman LLP
  • USA
  • March 6 2015

The US Supreme Court recently reversed the conviction of a commercial fisherman, John L. Yates, accused of violating 18 U.S.C. 1519, also known as


SEC charges CEO and former CFO with violation of Sarbanes-Oxley
  • Katten Muchin Rosenman LLP
  • USA
  • August 8 2014

On July 30, the Securities and Exchange Commission charged computer equipment company QSGI Inc's CEO, Marc Sherman, and former CFO, Edward L


Whistleblower’s claims against former employer survive summary judgment
  • Katten Muchin Rosenman LLP
  • USA
  • May 10 2013

In a case involving "several questions of first impression," the US District Court for the Southern District of New York denied summary judgment for


Southern District of New York applies Dodd-Frank Section 929a retroactively
  • Katten Muchin Rosenman LLP
  • USA
  • July 13 2012

The U.S. District Court for the Southern District of New York recently addressed the question of whether Section 929A of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act) applied retroactively to whistleblower claims under Section 806 of the Sarbanes-Oxley Act.


District court sustains whistleblower wrongful termination claim
  • Katten Muchin Rosenman LLP
  • USA
  • June 21 2012

Plaintiff Benjamin Ashmore brought a claim alleging that defendants CGI Group Inc. (CGI) and CGI Federal Inc. (CGI Federal) violated Section 806 of the Sarbanes-Oxley Act, otherwise known as the whistleblower provision.