Fredric D. Firestone Fredric D. Firestone

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  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.

Protecting Against SEC Whistleblower Enforcement Actions: Employment and Severance Agreements


By , , and on Jan 5, 2017
Posted In Employment, Privacy and Data Security

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...

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Whistleblowing in China and the United States


By on Sep 11, 2013
Posted In Employment

Recent events in China underscore the importance of dealing effectively with whistleblowers. To read the full article, click here.

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