Year: 2017

The Ninth Circuit joined the Second Circuit in concluding that the Dodd-Frank whistleblower provisions protect from retaliation those who report internally at the company but not to the SEC, despite the literal language of the statute. In reaching this conclusion …

Ninth Circuit Widens Split on Dodd-Frank Whistleblower Provisions Read More »

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This week the Commission brought three actions. One, a financial fraud case, centered on one of Mexico‚Äôs largest home builder that inflated sales numbers. A second was brought against an investment adviser who failed to disclose certain conflicts arising from …

This Week In Securities Litigation (Week ending March 10, 2017) Read More »

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