Dodd-Frank Litigation
OSHA Publishes Interim Rule for Handling Whistleblower Retaliation Complaints
Banking, Consumer Protection, Employment, Litigation OSHA has published the interim final text of regulations governing the employee protection (or whistleblower) provisions of the Consumer Financial Protection Act of 2010, or CFPA, Section 1057 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. This rule establishes procedures and time frames for the handling of retaliation complaints under CFPA, […] Read more →
Case Illustrates Role of 10b5-1 Plans in Securities Litigation
Litigation, Public Companies and Securities A Fourth Circuit case, Yates v. Municipal Mortgage & Equity, LLC (March 2014), recently examined the role of 10b5-1 plans in an alleged securities fraud case involving a... Read more →
U.S. Brings Criminal Charges for False Sarbanes-Oxley Certifications
Litigation, Public Companies and Securities An indictment was recently unsealed where the United States recently brought criminal charges, for among other things, false certifications under Section 302 and 906 of the... Read more →
SEC Wants Municipalities to Self-Report Violations — MCDC
Litigation The SEC has announced a new cooperation initiative out of its Enforcement Division to encourage issuers and underwriters of municipal securities to self-report certain violations... Read more →