Dodd-Frank Litigation
Court Finds Internal Reporting by Whistleblower Entitled to Dodd-Frank Protections
Broker-Dealer, Employment, Investment Advisers, Litigation, Public Companies and Securities In Murray v. UBS Securities LLC et al (12-CV-5914 S.D.N.Y.) the court found that an employee who reports violations of securities laws to his supervisor, but not the SEC, is entitled to the anti-retaliation protections for whistleblowers under the Dodd-Frank Act. Here, the plaintiff employee alleges he was pressured to write favorable research reports to [...] Read more →
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... Read more →
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SEC Warns Public Officials About Potential Liability
Litigation The SEC instituted a settled cease-and-desist proceeding against the City of Harrisburg, Pennsylvania for its violations of Section 10(b) of the Securities Exchange Act... Read more →
Crowdfunding and Jobs Act News Roundup – April 26, 2013
Litigation, Public Companies and Securities On Thursday the SEC sent out a press release captioned “SEC Seeks to Halt Scheme Raising Investor Funds Under Guise of JOBS Act.” The action doesn’t really have anything... Read more →