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  • Join us as we discuss how to address the growing threat of rogue insiders to hedge funds and private equity firms. In an era of rapidly advancing information technology, the threat of asset theft or misappropriation through cloud-based and other technologies is now ever present. Critical assets such investment strategies, investors, employees, performance metrics, algorithms, and the ultimate survival of the company are at risk. Our panel of experts will discuss the current business environment and the steps companies can take to prevent, mitigate and respond to critical asset theft...

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  • Whistleblower Litigation Research

    According to Department of Justice statistics, the number of qui tam actions has more than doubled over the last ten years.   In order to best advise our clients as they respond to this marked increase in activity, DOAR conducted focus group research designed to identify the key factors that contribute to jurors’ perceptions of whistleblowers and defending companies, and how juror attitudes can be altered.

    A presentation of DOAR’s research, findings and recommendations is available to corporate legal departments and the lawyers who represent them.  Click here to...

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  • Earlier this week the US Securities & Exchange Commission released its 2014 Annual Report to Congress on the Dodd-Frank Whistleblower Program.  You can access the report at http://www.sec.gov/about/offices/owb/annual-report-2014.pdf.  Highlights of the report include:

    A steady rise in the number of whistleblower tips per year – 334 in FY2011, 3,001 in FY2012, 3,328 in FY2013 and 3,620 in FY2014 Its first anti-retaliation case brought on June 16, 2014 against Paradigm Capital Management resulting in a $2.2MM settlement Corporate Disclosures & Financials, Offering...

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  • Following the Dodd-Frank Wall Street Reform and Consumer Protection Act, whistleblower lawsuits are on the rise.  The Securities and Exchange Commission now has an Office of the Whistleblower, including a special section for whistleblowing about Residential Mortgage Backed Securities, which has been giving out multi-million dollar awards to people who have exposed securities-related fraud.  The Commodity Futures Trading Commission (CFTC) has a whistleblower program, as does the Occupational Safety and Health Administration (OSHA) and the Internal Revenue Service.

    This is all...

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