Search Results (4)
Documents on Corporate Law
|Supreme Court Broadens Sarbanes-Oxley Whistleblower Protections, Extends Coverage to Employees of a Public Company’s Private Contractors|
Nicholas S. Feltham, Mary P. Hansen; Drinker Biddle & Reath LLP;
March 10, 2014, previously published on March 7, 2014In its March 4, 2014, opinion in Lawson v. FMR LLC the Supreme Court extended the whistleblower protections of 18 U.S.C. § 1514A to include not only employees of public companies, but also employees of privately held businesses that provide services to public companies. This important decision...
|SEC Releases Annual Report on its Whistleblower Program: Progress, Priorities, and Payments|
Nicholas S. Feltham, Mary P. Hansen, Ronald A. Sarachan; Drinker Biddle & Reath LLP;
December 16, 2013, previously published on November 27, 2013On November 15th, the U.S. Securities and Exchange Commission released its 2013 Annual Report to Congress on the Dodd-Frank Whistleblower Program. The report contains helpful insight into the operation of the SEC’s Office of the Whistleblower (OWB), and details OWB’s progress to date,...
|SEC Announces First Deferred-Prosecution Agreement with an Individual|
Mary P. Hansen; Drinker Biddle & Reath LLP;
November 26, 2013, previously published on November 21, 2013On November 12, 2013, the Securities and Exchange Commission (SEC) announced it had entered into a Deferred-Prosecution Agreement (DPA) with Scott Herckis, a former hedge fund administrator, for his role in an allegedly fraudulent scheme involving Heppelwhite Fund, LP, a Connecticut-based hedge...
|Supreme Court Decides To Hear Applicability of Sarbanes-Oxley’s Whistleblower Protections|
Daniel E. Brewer, Scott Coffina, Mary P. Hansen; Drinker Biddle & Reath LLP;
June 5, 2013, previously published on June 3, 2013The Supreme Court recently granted certiorari to decide whether the whistleblower protections of the Sarbanes-Oxley Act (SOX), 18 U.S.C. § 1514A, extend to employees of privately held contractors or subcontractors of a public company. The case, Lawson v. FMR, LLC, is of particular import to...