Posts from Jill Radloff
Whistleblower Law Firm Complains to SEC
Litigation, Public Companies and Securities, Uncategorized Two partners from a self-described law firm that specializes in the representation of whistleblowers have sent a letter to the SEC Commissioners complaining about the use of severance agreements to prevent employees from participating in the SEC whistleblower program. The letter complains about contractual clauses inserted in severance agreements with departing employees such as: Employee [...] Read more →
8-K’s Announcing Reg FD Social Media Channels Begin; NYSE Weighs In
Public Companies and Securities, Uncategorized The SEC opened the barn doors on use of social media, or merely reaffirmed existing guidance, depending on your point of view, in a recent Section 21(a) report. Netflix, the... Read more →
Court Dismisses Another Say-on-Pay Disclosure Case
Executive Compensation, Public Companies and Securities, Uncategorized The District Court for the Northeastern District of Illinois recently granted a Rule 12(b)(6) motion to dismiss an action styled Noble v. AAR Corp. The plaintiff alleged that... Read more →
Accredited Crowdfunding, Internet Advertising and General Solicitation
Broker-Dealer, Investment Advisers, Private Equity, Uncategorized The SEC recently granted two accredited crowdfunding sites exemptions from the broker-dealer rules because the type of carried interest (or close equivalent) used to compensate... Read more →