Dodd-Frank Litigation
Three Dodd-Frank Whistleblower Anti-Retaliation Claims Fail
Employment, Litigation, Public Companies and Securities Courts recently issued three opinions on the whistleblower anti-retaliation provisions of the Dodd-Frank Act. In Murray v. UBS Securities, LLC, Mr. Murray claimed he was terminated because he refused to skew his research on commercial mortgage backed securities, or CMBS. Mr. Murray brought an anti-retaliation claim under the Consumer Financial Protection Act, which is Title […] Read more →
Supreme Court Interprets Sarbanes-Oxley Evidence Destruction Provisions
Litigation, Public Companies and Securities We now know that Sarbanes-Oxley does not apply to fish . . . While conducting an offshore inspection of a commercial fishing vessel in the Gulf of Mexico, a federal agent found... Read more →
Sandy Hook Parents and Securities Law Professors Support Trinity Wall Street; Wal-Mart Replies
Litigation, Public Companies and Securities A group comprised of parents whose children or spouses were victims in the Sandy Hook tragedy, together with the Law Center to Prevent Gun Violence, have filed a brief in support... Read more →
Bad Actor Disqualifications Are Not Sanction Enhancements
Litigation, Public Companies and Securities SEC Commissioner Daniel M. Gallagher delivered a speech where he considered the role of bad actor disqualifications in the context of the SEC’s enforcement initiatives. ... Read more →