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Avoiding Whistleblower Retaliation Claims Under the Dodd-Frank Act

By Russell E. Adler
December 14, 2011

As a result of the recent financial crisis, Washington enacted significant financial reforms through the passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank or the Act) (www.sec.gov/about/laws/wallstreetreform-cpa.pdf). In addition to the broad changes to the financial system put in place by Dodd-Frank (which are beyond the scope of this article), the Act created a whistleblower program designed to incentivize individuals to report federal securities law violations directly to, among others, the Securities and Exchange Commission (SEC). This article provides an overview of the Act's whistleblower and anti-retaliation provisions, as well as practical steps to help employers avoid retaliation claims.

Dodd-Frank's Whistleblower

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