Month: August 2016

The D.C. Circuit handed down the first circuit court decision ruling on the Appointments Clause question concerning the retention of SEC ALJs. The court concluded that there was no violation of the Clause. The SEC brought an action this week …

This Week In Securities Litigation (Week ending August 12, 2016) Read More »

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The SEC has a robust whistleblower program which is considered an important adjunct to its enforcement efforts. To that end the Commission has participated in whistleblower cases as an amicus and brought actions regarding restrictions on the ability of employees …

Severance Agreements Violate SEC Whistleblower Provisions Read More »

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