SEC Whistleblower Update

By on March 13, 2018
Posted In Employment

The Supreme Court recently clarified the scope of SEC whistleblower retaliation provisions. Though the decision limits retaliation actions, employers should continue to avoid conduct that can be interpreted as retaliation under other statutes, and should find ways to encourage internal reporting.

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Paul Helms
Paul Helms defends clients in government investigations, principally investigations by the US Securities and Exchange Commission (SEC), and conducts internal investigations involving securities, accounting and other financial concerns. Through his work at the SEC and in private practice, Paul handled more than 40 investigations across multiple subject areas, including financial and accounting fraud, offering fraud, market manipulation, insider trading, Foreign Corrupt Practices Act (FCPA) violations and regulatory compliance. Paul has substantial experience in matters involving investment advisers, mutual funds and private funds. Read Paul Helms' full bio.

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