Tag Archives: Houston Dodd Frank Lawyer

Other Non-Sox Anti-Retaliation Laws Created Or Strengthened By Dodd Frank (Part III)

Amendment Of The False Claims Act The False Claims Act (“FCA”) is a whistleblower law that allows a private individual with knowledge of past or present fraud committed on the federal government to sue on the government’s behalf and recover … Continue reading

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Other Non-Sox Anti-Retaliation Laws Created Or Strengthened By Dodd Frank (Part II)

Amendment Of The Commodity Exchange Act Section 748 amends the Commodity Exchange Act to create a whistleblower incentive program and whistleblower protection provision that are substantially similar to the SEC reward program and anti-retaliation provision contained in section 922. Under … Continue reading

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Other Non-Sox Anti-Retaliation Laws Created Or Strengthened By Dodd Frank (Part I)

Private Cause Of Action For Retaliation Under Dodd-Frank Section 1057, Relating To The Consumer Financial Protection Act of 2010 Dodd-Frank prohibits retaliation against “any individual performing tasks related to the offering or provision of a consumer financial product or service” … Continue reading

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Extraterritorial Application Of Dodd Frank’s Anti–Retaliation Provision

In Asadi v. G.E. Energy (USA), LLC, Civil Action No. 4:12–345, 2012 WL 2522599, at *7 (S.D. Tex. June 28, 2012), the district court held that “Dodd–Frank’s Anti–Retaliation Provision per se does not apply extraterritorially.” The claimant, a dual United … Continue reading

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Dodd Frank – Implications Of The Final Rules On Internal Reporting Procedures (Part III)

Internal Reporting Alone May Constitute Protected Conduct, If The Report Was Communicated To The SEC By Others, Or The Internal Report Falls Within The “Catch-all” Provision In Egan v. TradingScreen, Inc., NO. 10 CIV. 8202 LBS, 2011 WL 1672066 (S.D.N.Y. … Continue reading

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Dodd Frank – Implications Of The Final Rules On Internal Reporting Procedures (Part II)

Although Not Required, The Final Rules Encourage And Reward Internal Reporting Although the Final Rules do not make internal reporting mandatory, the SEC also plainly states, in several places throughout the regulations, its interest in promoting strong internal compliance and … Continue reading

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Dodd Frank – Implications Of The Final Rules On Internal Reporting Procedures (Part I)

Internal Reporting Is Not Required Internal reporting procedures have been an important part of corporate compliance programs at virtually all regulated companies for many years, and took on an even more prominent role after the enactment of Sarbanes Oxley. With … Continue reading

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Dodd Frank – Procedural Aspects Of The Whistleblower Bounty (Part II)

Calculating An Award Under The “Bounty Program” If an SEC action results in sanctions totaling $1 million or more, the whistleblower is eligible to receive between 10% and 30% of any penalty recovered in a judicial or administrative action. For … Continue reading

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Dodd Frank – Procedural Aspects Of The Whistleblower Bounty (Part I)

Procedures For Submitting Information To The SEC Have Been Simplified The Final Rules make it significantly easier for individuals to submit information to the SEC concerning allegations of alleged violations of federal securities laws. A person who wishes to file … Continue reading

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Dodd Frank – Who Can Qualify As A Whistleblower (Part VIII)

An Employee May Be A Whistleblower for Purposes Of Dodd-Frank’s Anti-Retaliation Provisions, Even If He Or She Is Not A Whistleblower For Purposes Of Dodd-Frank’s Bounty Provisions Under the “bounty” provision, a whistleblower who provides “original information” to the SEC … Continue reading

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