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Actions vs. J.P. Morgan, Monolith Serve as SEC Compliance Check Reminders | DarrowEverett LLP

The Securities and Exchange Commission (SEC) recently settled charges against J.P. Morgan Securities LLC (JPMS) for impeding hundreds of advisory clients and brokerage customers from. ....

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A Review Of Recent Whistleblower Developments - White Collar Crime, Anti-Corruption & Fraud

Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. ....

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How to Avoid Risk of SEC Whistleblower Rule Violations in Connection with Settlement Agreement Confidentiality Provisions | White & Case LLP

In March 2023, we published an alert concerning the U.S. Securities and Exchange Commission ("SEC") whistleblower protection rule and how to minimize the risk of violations in. ....

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Employers Beware: Broad Confidentiality and Severance Clauses May Violate Whistleblower Protection Laws | BakerHostetler

Employers should check their confidentiality and severance agreements for a common oversight that, for some, is becoming a costly error. Recent enforcement activity by the. ....

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Eyes on 2024: Will the SEC Continue Its Aggressive Enforcement of Whistleblower Laws in 2024? | Bond Schoeneck & King PLLC

The Securities and Exchange Commission (the SEC or Commission) made clear in 2023 that it intends to aggressively enforce its whistleblower protection laws, namely Rule 21F-17, which. ....

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