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Richard L. Cassin Publisher and Editor

Andy Spalding Senior Editor

Jessica Tillipman Senior Editor

Elizabeth K. Spahn Editor Emeritus

Cody Worthington Contributing Editor

Julie DiMauro Contributing Editor

Thomas Fox Contributing Editor

Marc Alain Bohn Contributing Editor

Bill Waite Contributing Editor

Shruti J. Shah Contributing Editor

Russell A. Stamets Contributing Editor

Richard Bistrong Contributing Editor 

Eric Carlson Contributing Editor

Bill Steinman Contributing Editor

Aarti Maharaj Contributing Editor


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FCPA Blog Daily News

Entries in BlueLinx (5)

Tuesday
Jan172017

SEC: BlackRock impeded whistleblower rights

New York-based asset manager BlackRock Inc. agreed Tuesday to pay a $340,000 penalty to settle SEC charges that it forced more than a thousand exiting employees to waive their ability to obtain whistleblower awards.

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Monday
Oct312016

SEC warns advisors and brokers to comply with whistleblower protection rule

The U.S. Securities and Exchange Commission has warned investment advisers and broker-dealers to comply with the Dodd-Frank whistleblower-protection rule.

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Friday
Aug192016

SEC fines Health Net Inc. for severance agreements that stifled whistleblowers

Health Net Inc. paid a $340,000 penalty Tuesday to the SEC for illegally using severance agreements that required outgoing employees to waive their ability to obtain monetary awards from the SEC’s whistleblower program.

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Monday
Aug152016

David J. Marshall: SEC breaks new ground, bans employer-imposed waiver of right to whistleblower award

The Securities and Exchange Commission sent a strong message to employers nationwide last week when it issued a cease-and-desist order against a company that required departing employees, as a condition of receiving severance, to sign an agreement waiving their right to any award from the SEC Whistleblower Program for reporting securities law violations.

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Wednesday
Aug102016

SEC fines company for severance agreements that violated whistleblower protections 

The Securities and Exchange Commission Wednesday said an Atlanta-based building products distributor violated securities laws by using severance agreements that required departing employees to waive their rights to recover money from any whistleblower claims they filed with the SEC or other federal agencies.

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