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51 results found

Article

Drinker Biddle & Reath LLP | USA | 27 Mar 2019

SEC Announces First Whistleblower Awards of 2019

The SEC announced yesterday that it has awarded more than $50 million to two whistleblowersspecifically, more than $37 million to one whistleblower

Article

Drinker Biddle & Reath LLP | USA | 12 Feb 2019

How to Start Smart and Maximize Value from Internal Investigations

The decision to conduct an internal investigation is frequently driven by an unexpected event that imposes risk to a company. A shareholder composes

Article

Drinker Biddle & Reath LLP | USA | 26 Feb 2018

Supreme Court Unanimously Holds that Whistleblowers Must First Report to the SEC Before Being Afforded Dodd-Frank Anti-Retaliation Protections

In a 9-0 opinion issued on Wednesday, February 21, in Digital Realty Trust v. Somers (2018), the Supreme Court resolved a circuit split by holding

Article

Drinker Biddle & Reath LLP | USA | 8 Nov 2016

The SEC’s First Risk Alert of Fiscal Year 2017 Targets Registrant Rule 21F-17 Compliance

The Securities and Exchange Commission (SEC or Commission) Office of Compliance Inspections and Examination (OCIE) issued a Risk Alert on October 24

Article

Drinker Biddle & Reath LLP | USA | 14 Oct 2016

SEC Announces Record Number of Enforcement Actions Filed in FY 2016

On October 11, 2016, the SEC announced its enforcement results for fiscal year 2016, which ended on September 30th. Press Release No. 2016-212. In

Article

Drinker Biddle & Reath LLP | USA | 12 Aug 2016

SEC Charges Another Company for Anti-Whistleblower Provision in Severance Agreements

The SEC announced on Wednesday that BlueLinx Holdings Inc. has agreed to pay a $265,000 penalty for including a provision in its severance agreements

Article

Drinker Biddle & Reath LLP | USA | 27 Jun 2016

SEC Levies Disgorgement and Civil Penalties for Violations of the Consumer Protection Rule and the Dodd-Frank Whistleblower Protection Rule

On June 23, 2016, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp. (collectively, "Merrill Lynch")

Article

Drinker Biddle & Reath LLP | USA | 10 Jun 2016

SEC Announces Second Largest Whistleblower Award Yet ($17M)

The SEC announced yesterday that it has awarded $17 million to a former company employee whose tip substantially advanced the SEC's investigation and

Article

Drinker Biddle & Reath LLP | USA | 28 May 2016

$3.5 Million Awarded to Whistleblower Who Was Initially Rebuffed by SEC

The SEC recently announced a $3.5 million whistleblower award that reversed course from its earlier determination that the whistleblower was not

Article

Drinker Biddle & Reath LLP | USA | 7 Oct 2015

Update on SEC’s interpretative guidance for whistleblower retaliation protections

In August 2015, the SEC issued interpretative guidance to clarify that an individual's status as a whistleblower for purposes of the employment

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