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Incentives and Protections for the Modern Whistleblower under Dodd-Frank and Sarbanes-Oxley: Key Issues for Employers and Employees

1h 1m

Created on October 03, 2014

Advanced

Overview

With the passage of the Sarbanes-Oxley Act in 2002 and the Dodd-Frank Wall Street Reform and Consumer Protection Act in 2010, the legal landscape has shifted dramatically to encourage and protect employees who come forward to “blow the whistle” on fraud and related corporate wrongdoing.  Not only do both statutes contain protection for employees against retaliation, but Dodd-Frank also authorized the SEC to provide monetary awards of between 10% and 30% to eligible individuals who voluntarily come forward with original information that leads to an enforcement action in which over one million dollars in sanctions is recovered.  These whistleblower programs have created substantial financial incentives for potential whistleblowers and significant compliance challenges for covered employers.

 

Join Jason Pickholz, Founder of The Pickholz Law Offices LLC and one of the very few lawyers to have successfully won an SEC Whistleblower Award for a client, and John F. Fullerton III, a member of the firm at Epstein Becker & Green, P.C., who advises financial institutions and other corporate employers on employment and whistleblower related matters, as they offer their unique perspectives on the pros and cons of these whistleblower programs and the key issues faced by employees and employers in this new and growing area of whistleblower law.

 

Learning Objectives:

I.   Understand the federal securities whistleblower programs and retaliation protections

II.  Recognize the benefits and pitfalls that both employers and employees face under these statutes

III. Evaluate the “best practices” for utilizing and complying with these rights and obligations

IV. Identify practical considerations for representing an SEC whistleblower client before the Commission, and for representing a company in responding to a whistleblower complaint

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