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The Rise of OSHA Whistle-Blower Cases
  • Cozen O'Connor
  • USA
  • January 24 2017

In the last blog, we took a look data showing a decrease in OSHA workplace safety and health inspections in 2016. Although this may be true for safety

SEC officer director bars: by what standard?
  • Dorsey & Whitney LLP
  • USA
  • May 16 2013

Sometimes it can be difficult to determine if you actually won. This may be the case for the SEC with the Second Circuit's ruling in SEC v. Bankosky

In case you missed it - February 2013
  • Stoel Rives LLP
  • USA
  • February 13 2013

A bit like the interpretive memo about "prohibited loans" under the Sarbanes-Oxley Act, joint interpretations of provisions of the Iran Threat

Part III: how corporate officials can get a good night’s sleep despite current SEC enforcement trends
  • Dorsey & Whitney LLP
  • USA
  • August 9 2012

This is the third in a series discussing new trends in SEC enforcement which impact corporate directors and officers and steps that can be taken to avoid future liability.

This week in securities litigation (March 4, 2011)
  • Dorsey & Whitney LLP
  • USA
  • March 4 2011

This week the SEC continued to implement the Wall Street Reform Act, issuing another group of proposed rules to aid the implementation of the legislation.

SEC option backdating claims and relief held time barred
  • Dorsey & Whitney LLP
  • USA
  • February 23 2011

In SEC v. Microtune, Inc., Civil Action no. 3:08-CV-1105 (N.D. Tx.) the court concluded that the Commission’s option backdating claims and virtually of its remedies were time barred.

SEC enters into first non-prosecution agreement
  • Herrick Feinstein LLP
  • USA
  • January 31 2011

The Securities and Exchange Commission has announced that it has entered into a non-prosecution agreement with Carter's Inc., an Atlanta-based children's clothing marketer.

The Countrywide settlement: significant questions
  • Porter Wright Morris & Arthur LLP
  • USA
  • October 18 2010

On the eve of trial the SEC settled one of its most significant market crisis cases, SEC v. Mozilo, Case No. CV 09-03994 (C.D. Cal. Filed June 4, 2009).

Free Enterprise Fund v. Public Company Accounting Oversight Board: "Dual for-cause" removal struck down; PCAOB operations upheld
  • Fried Frank Harris Shriver & Jacobson LLP
  • USA
  • July 29 2010

In its final decision of the past term, Free Enterprise Fund v. Public Company Accounting Oversight Board, a 5-4 majority of the Supreme Court held that limits in the Sarbanes-Oxley Act of 2002 (the Act) on the ability to remove members of the Public Company Accounting Oversight Board (the PCAOB or Board) violated separation of powers under the Constitution.

Sixth Circuit skirts jurisdictional issue in denying reinstatement to alleged SOX whistleblower
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • July 1 2010

In Solis v Tennessee Commerce Bancorp, Inc, a three-judge panel of the Sixth Circuit recently reversed a lower court's decision to enforce a preliminary order by the Department of Labor ("DOL" or "Department") to reinstate an alleged whistleblower under the Sarbanes-Oxley Act of 2002 ("SOX").