Whistleblowers on Wall Street: Dodd-Frank Whistleblower Developments 2016

Originally held on Wednesday, September 14, 2016 | 6 pm – 8 pm

Program Chair:

John Howley

John Howley
The Howley Law Firm P.C.

 

  • The Dodd-Frank Act ushered in a new era of whistleblower claims, protections, and complications for whistleblowers and companies like. While the SEC has rejected the vast majority of whistleblower claims, it has awarded more than $85 million to 32 whistleblowers in less than five years – including one award for $30 million and another for $17 million.

    This program will address key developments in the Dodd-Frank whistleblower program, with an emphasis on the following issues:

    •The SEC’s position on confidentiality and non-disclosure agreements, and its implications for internal investigations;
    •The impact of a whistleblower’s own involvement in the alleged wrongdoing;
    • Whistleblowers’ potential civil and criminal exposure for computer crimes, theft of trade secrets, and breach of non-disclosure agreements; and,
    • The unresolved split between the 2nd and 5th Circuits on reporting to the SEC as a prerequisite to a whistleblower retaliation claim.

    A panel of practitioners with experience representing whistleblowers, defendants, and the government will discuss the legal and practical implications of these developments.

    This program is intended for securities, employment and criminal defense lawyers, in-house counsel, and human resources personnel.

    DVDs & CDs: $229 Member | $329 Nonmember
    On-Demand: $179 Member| $279 Nonmember
    Materials Only (No CLE Credit): $99 Member | $129 Nonmember
    * New York residents will be charged the New York sales tax for all audio visual purchases.

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  • Ira Lee Sorkin
    Mintz & Gold LLP

    John Vagelatos
    Chief of Affirmative Civil Enforcement
    United States Attorney’s Office

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  • 6:00 pm – 6:05 pm Introduction of Program and Speakers
    6:05 pm – 6:10 pm Overview of the Dodd-Frank Whistleblower Program
    6:10 pm – 6:20 pm Definition of a Whistleblower
    6:20 pm – 6:25 pm Nature of Information or Evidence Required
    6:25 pm – 6:35 pm Whistleblower Bounties Under the Dodd-Frank Act
    6:35 pm – 6:40 pm Significant Bounties Paid to Date
    6:40 pm – 6:45 pm Enforcement of Confidentiality and Non-Disclosure Agreements Against Whistleblowers
    6:45 pm – 6:55 pm SEC Rule 21F-17 Limitations on Restricting Reporting by Whistleblowers
    6:55 pm – 7:05 pm SEC Enforcement Action Against KBR Inc.
    7:05 pm – 7:15 pm Implications of SEC Rules for Internal Investigations
    7:15 pm – 7:25 pm Whistleblowers’ Own Wrongful Conduct or Involvement in the Reported Violations
    7:25 pm – 7:35 pm Impact of Whistleblower’s Conduct on Eligibility for a Bounty
    7:35 pm – 7:45 pm Whistleblower’s Potential Civil and Criminal Exposure for Stealing Evidence or Violating Third-Party Rights
    7:45 pm – 7:50 pm Disclosure to the SEC as a Prerequisite for Whistleblower Retaliation Claims
    7:50 pm – 7:55 pm The 5th Circuit’s Position
    7:55 pm – 8:00 pm The 2nd Circuit’s Position

  • This program provides 2.0 credits in professional practice for the New York & New Jersey MCLE requirements. California & Pennsylvania credit differs as it is based on a 60-minute credit hour. The live program provided transitional credit to newly admitted attorneys; the recording does not provide transitional credit.

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  • Sponsoring Association Committee: Labor & Employment | Jyotin Hamid, Chair

    Sponsorship Opportunities are Available! Please Contact:
    Maricela Alfonso| Membership and CLE Relations Associate| (212) 382-6608 | MAlfonso@nycbar.org

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