INDUSTRY FOCUS ON FINANCIAL SERVICES
SEC Whistleblower Claims: How Financial Firms can Best Manage Potential Relators

January 31, 2017 9:45am

Jane Norberg
Chief, Office of the Whistleblower
US Securities and Exchange Commission (Washington, DC)

Thomas Sporkin
Partner
Buckley Sandler LLP (Washington DC)

Jordan Thomas
Partner
Labaton Sucharow LLP (New York, NY)

  • What are the ethical concerns of representing Whistleblowers?
  • What is SEC’s approach on employee agreements post-KBR ruling that companies cannot stifle whistleblowers?
  • What triggers a claim: differing approach of circuits
  • Discussion of the ‘First to File’ Bar
  • How to incentivize internal reporting first before Whistleblowers act
  • Tips for responsible organizations from relators’ counsel
  • The number one factor that leads employees to report externally