When The Whistle Blows: What You Need To Know About Dodd-Frank and Sarbanes Oxley
Created on April 17, 2018
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 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 $1,000,000 in sanctions is recovered. These programs have created substantial financial incentives for potential whistleblowers and significant compliance challenges for covered employers.
Join Jason Pickholz of The Pickholz Law Offices LLC, the first lawyer ever to win an SEC whistleblower award on appeal and creator of SECWhistleblowerInfo.com, and John F. Fullerton III, member of Epstein Becker & Green, P.C. and representative of financial institutions and corporate employers, 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 growing area of whistleblower law.
- Address the federal securities whistleblower programs and retaliation protections
- Discuss the benefits and pitfalls that both employers and employees face under these statutes
- Evaluate the "best practices" for utilizing and complying with these rights and obligations
- Identify practical considerations for representing an SEC whistleblower client before the Commission, and for representing a company in responding to an SEC investigation prompted by a whistleblower complaint
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