On November 16, 2015, Deputy Attorney General Sally Quillian Yates gave a speech regarding the implementation of the Department of Justice’s recent policy initiatives to facilitate the ...
On Friday, November 13, NYU Law’s Program on Corporate Compliance and Enforcement hosted a roundtable discussion featuring the Department of Justice’s Criminal Division Fraud Chief An...
Constitutional attacks against the Securities Exchange Commission’s (the “SEC”) use of administrative proceedings have grown in strength as securities respondents across the country...
The U.S. Court of Appeals for the Second Circuit issued a significant opinion last week, reversing a lower court decision and extending the whistleblower anti-retaliation provisions of th...
Yesterday, Deputy Attorney General Sally Quillian Yates gave a speech concerning the Department of Justice’s guidance memorandum issued on September 9, 2015 that further underscores DOJ...
The United States Department of Justice has petitioned the United States Supreme Court to review a recent Second Circuit opinion that clarified what the Government must prove to establish...
The SEC, which has recently been investigating workplace agreements out of concern that they may impede whistleblowing activity protected by the Dodd-Frank Act, announced yesterday its fi...
On December 10, 2014, the U.S. Court of Appeals for the Second Circuit held that to obtain an insider trading conviction against a tippee, the Government must prove that the tippee knew b...
The Securities and Exchange Commission (“SEC”) announced a settlement on Monday, June 16, 2014 that marked its first case to protect a whistleblower under the anti-retaliation provisi...
Sarbanes-Oxley Act, Dodd-Frank and the Consumer Financial Protection Act impose overlapping anti-retaliation provisions that generally prohibit retaliation against corporate “whistleblo...
