Category: Awards

In-House Counsel as Whistleblowers Under the Dodd-Frank Act

I recently posted a blog regarding my article on in-house counsel as whistleblowers, which is available here. This post is a deeper dive into the Dodd-Frank Act’s protections for attorney whistleblowers and eligibility for bounties under the Act. The Dodd-Frank Act contains anti-retaliation provisions that may relate to in-house counsel as whistleblowers. In particular, the…




New York Attorneys May be Precluded from Submitting Information Under Dodd-Frank’s Whistleblower Bounty Provision

The Dodd-Frank Act contains a “bounty” provision intended to incentivize whistleblowers to disclosure information to the SEC regarding violations of U.S. securities and trading statutes and other statutes administered by the SEC.  It is now questionable whether New York attorneys, whether in-house or outside, can qualify for such awards if they disclose the confidential information…




Retention of Employer Documents by Whistleblowers Part 6—Retaining Documents as Protected Activity Under the Dodd-Frank Act

One of the most recent and broad whistleblower laws enacted at the federal level was contained in the Dodd–Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).  Although there is little caselaw on the statute and the protections it may provide for whistleblowers who collect, retain, and disclose information evidencing wrongful conduct, the Dodd-Frank…




SEC Awards Whistleblower $14 Million Under Dodd-Frank

On September 30, 2013, the Securities and Exchange Commission (SEC) announced the largest award to date under the Dodd-Frank Act’s whistleblower provisions.  Under the Dodd-Frank Act whistleblowers who provide original information regarding the violation of one or more statutes or rules administered by the SEC, which results in a total recovery to the SEC of…