Protecting Against SEC Whistleblower Enforcement Actions: Employment and Severance Agreements

Large fines have recently been imposed against public companies due to using confidentiality provisions that violate whistleblower provisions under federal securities law. Many standard confidentiality clauses in employment agreements, severance agreements, release agreements, non-compete agreements and other employment related agreements will violate these whistleblower provisions. Recently, the Office of Compliance Inspections and Examinations at the US Securities and Exchange Commission announced that it is actively reviewing these agreements to determine if there are possible securities law violations.

This webinar will address the whistleblower provisions relevant to employment related agreements, the recent SEC enforcement actions, the compliance issues raised by typical confidentiality clauses and actions for employers to consider for existing and future employment related agreements.

On-demand presentation link available here.

MP4 downloadable link available here.

Jeremy WhiteJeremy White
  Jeremy White represents a wide range of clients in complex litigation matters in the wage and hour and employment discrimination areas. Jeremy has specific experience in collective and class actions under Title VII of the Civil Rights Act of 1964, the Americans with Disabilities Act, the Fair Labor Standards Act, and other federal and state statutes concerning employment-related claims. He has defended employers before federal, state and local agencies, courts and courts of appeals. Read Jeremy White's full bio.


Fredric D. FirestoneFredric D. Firestone
  Fredric (Rick) Firestone represents corporations, financial institutions and individuals in investigations and enforcement proceedings by the US Securities and Exchange Commission (SEC) Division of Enforcement, the Financial Industry Regulatory Authority (FINRA), the Public Company Accounting Oversight Board (PCAOB) and state securities regulators. He also conducts internal investigations on behalf of management and boards of directors and counsels on corporate governance and compliance matters.  Read Rick Firestone's full bio.


Evan A. BelosaEvan A. Belosa
  Evan A. Belosa is an experienced negotiator and counselor, focusing his practice on all aspects of executive employment and compensation matters. Evan represents individuals from virtually every industry across the United States, with a specific focus on executive officers and employees at all levels of the financial services industry. He also represents institutions in all aspects of the employer/employee relationship. Evan has significant experience in the areas of executive compensation and employee benefits, and has frequently represented both management teams and employers in designing and drafting compensation structures and plans. Read Evan Belosa's full bio.


Thomas P. ConaghanThomas P. Conaghan
Thomas (Tom) P. Conaghan represents public and private companies, underwriters and other sources of capital, corporate boards and board committees, and corporate executives. He advises US- and foreign-based public companies on issues relating to mergers and acquisitions (M&A), joint ventures, strategic investments, spin-offs, public and private offerings of securities (including initial public offerings (IPOs)), disclosure, Securities and Exchange Commission (SEC) reporting, corporate governance, executive compensation, and the stock exchange-listed company rules. Tom is co-head of the Firm's Capital Markets and Public Companies Group, and partner-in-charge of the Corporate Group in the Firm's Washington, DC office. Read Tom Conaghan's full bio.

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