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IP ARTICLE: "The Scope of Anti-Retaliation Protections for Securities Whistleblowers"

  • 01 Dec 2018

ARTICLE OF INTEREST:

"The Scope of Anti-Retaliation Protections
for Securities Whistleblowers"

By
Jack Russo and Umeet Sajjan
ComputerLaw Group LLP

Whether the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) encompasses whistleblower protections for individuals who disclose securities violations internally, but do not report the violations to the Securities Exchange Commission (the “SEC” or the “Commission”), has divided the U.S. Circuit Courts. In 2013, the Fifth Circuit decided in Asadi v. G.E. Energy (USA), L.L.C. that Dodd-Frank does not protect whistleblowers who make internal disclosures without additionally reporting violations to the SEC; whereas, in 2015, the Second Circuit decided the opposite in Berman v. Neo@Ogilvy LLC. Nearly a year ago, the Ninth Circuit followed the Second Circuit’s position in Berman, issuing its decision in Somers v. Digital Realty Trust Inc. This split of decisions set up the Supreme Court’s review...

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