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Corporate Whistleblowing in the Sarbanes-Oxley/Dodd-Frank Era (Second Edition)

 
Author(s): Renee Phillips, Michael Delikat
Practice Area: Corporate & Securities, Employment, Litigation
Published: Sep 2011
Supplement Date: Sep 2017
ISBN: 9781402416590
PLI Item #: 32923
Corporate Whistleblowing in the Sarbanes-Oxley/Dodd-Frank Era helps you to understand the current legal and regulatory landscapes, and gives you practical advice on how to minimize the risk and damage of whistleblower complaints against employers and conduct effective internal investigations. Written by leading  practitioners who have successfully advised and defended many companies in Sarbanes-Oxley and Dodd-Frank whistleblower actions and covering all of the whistleblower provisions of the Acts, the regulations promulgated thereunder, and the rapidly developing case law coming both from the administrative process and the federal courts, this authoritative and accessible resource is a must-have for every company and lawyer who advises companies on securities law, compliance, employment law and corporate governance matters.
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Mike Delikat, a partner in the New York office, serves as Chair of Orrick’s Global Employment Law Practice, which has employment law teams in the European Union, Asia as well as the United States. He also is the founder of the firm’s Whistleblower Task Force. He previously served as the Managing Director of Orrick’s Litigation Division.

Under Mr. Delikat’s leadership, Orrick’s Employment Law & Litigation group was recently named Labor & Employment Department of the Year in California by The Recorder, the premier source for legal news, in recognition of their significant wins on behalf of leading multinational companies on today’s most complex and challenging employment law matters. The practice group has also been chosen as one of the top national employment law practices by Law 360.

He represents a broad range of major corporations in all facets of labor and employment law. Mr. Delikat has an active trial, arbitration and appellate practice and handles a number of high-visibility class action and impact cases. Mr. Delikat has extensive experience with litigation arising from trade secret misappropriation and the enforcement of post-employment restrictions, EEOC systemic investigations and litigations, wage-and-hour collective actions and other class actions based on gender and race, with particular expertise representing companies in the financial services industry.

He currently has an active practice representing a number of major corporations in the defense of Sarbanes-Oxley Act and other whistleblower claims and is the coauthor of the only extensive treatise published on whistleblowing and internal investigations, Corporate Whistleblowing in the Sarbanes-Oxley/Dodd-Frank Era. He is regularly retained by boards of directors and audit committees to conduct high exposure internal investigations of corporate wrongdoing.

Mr. Delikat is published and quoted frequently on a variety of employment law issues in major academic and business publications and is a frequent speaker at national and international programs.

Related Practice Areas

  • Employment Law & Litigation
  • Corporate Whistleblowing
  • Internal Board and Corporate Investigations
  • Trade Secrets Litigation
  • Wage-and-Hour

Education

  • J.D., Harvard Law School, 1977
  • B.S., Cornell University, 1974

Honors

  • Consistently ranked by Chambers USA, in Band 1 and one of the top five employment lawyers in New York City, describing him as "one of the greatest lawyers in the field today - truly one of the superstars" and "an expert on Sarbanes-Oxley whistle-blower claims."
  • Lawdragon’s Guide to World-Class Employment Lawyers 2013
  • Fellow, College of Labor and Employment Lawyers
  • Recognized by Human Resource Magazine as one of "The Nation’s 100 Most Powerful Employment Attorneys"
  • Ranked in the top 25 of Euromoney’s The Best of the Best USA (Labor and Employment)
  • Recognized by The International Who’s Who of Management Labour and Employment Lawyers and The Legal 500


Renee Phillips, partner in the New York office and Co-Head of Orrick’s Whistleblower Task Force, focuses her practice on employment litigation and counseling, with particular emphasis on Sarbanes-Oxley/Dodd-Frank whistleblower issues and internal investigations.

Renee has successfully defended employers in federal and state court litigations as well as administrative proceedings and arbitrations involving claims of discrimination, harassment, wrongful termination, whistleblowing, trade secret misappropriation and other employment-related claims. She regularly counsels employers on a variety of employment-related issues and assists clients in creating and implementing human resources policies, whistleblower policies, negotiating and drafting executive contracts, restrictive covenants and other employment agreements, and conducting internal investigations.

Renee is the co-author of the PLI treatise, Corporate Whistleblowing in the Sarbanes-Oxley/Dodd-Frank Era. She regularly writes and speaks on whistleblower and other employment topics.

Representative Engagements

Representative clients and matters:

  • Broadcom. Obtained complete dismissal of a Dodd-Frank whistleblower claim brought by a former in-house counsel.
  • Bank of America. Represented the bank in a high-profile Sarbanes-Oxley whistleblower suit at the Department of Labor brought by the former head of its Fraud Investigations Unit.
  • Credit Suisse. Obtained complete dismissal of a Sarbanes-Oxley whistleblower case at the Department of Labor, which was affirmed on appeal.
  • Wyeth. Successfully represented this client in several Sarbanes-Oxley whistleblower matters.
  • Confidential Investigations. Conducted several internal investigations of alleged misconduct by CEOs, Board members, and other C-suite executives at major financial services institutions.
  • Carrols Corporation. Represented Carrols Corporation, the largest holder of Burger King franchises, in the largest pattern or practice systemic class action for sexual harassment ever brought by the EEOC, EEOC v. Carrols.
  • Sephora. Won a Second Circuit appeal in a national origin and religious discrimination case.
  • Genentech. Won a Third Circuit appeal in a gender discrimination case.
  • Holland & Knight LLP. Obtained a seminal decision in Weir v. Holland & Knight LLP, which held that law firm partners are not covered by statutory discrimination protections.

Publications

  • Contributor, Orrick’s Employment Law & Litigation Blog
  • Contributor, Orrick's Equal Pay Pulse Blog
  • Co-author, Corporate Whistleblowing in the Sarbanes-Oxley/Dodd-Frank Era, PLI, 2012.
  • Co-Author, "Avoiding the Risk of Cybersecurity Whistleblowers," Law360, April 27, 2016.
  • “Foreign Whistleblower Awarded $30-$35 Million Dodd-Frank Whistleblower Bounty,” ABA International Labor & Employment Law Committee Newsletter, November 2014.
  • “Corporate Whistleblowing - Key Issues in Responding to Possible Violations,” The Review of Securities & Commodities Regulation, November 24, 2014.
  • “U.S. Whistleblower Law Does Not Apply Extraterritorially According to Federal Court,” ABA International Labor & Employment Law Committee Newsletter, August 2014.
  • “U.S. Whistleblower Laws’ Scope Narrowed to Complaints Arising in U.S. and Subjects under U.S. Law,” ABA International Labor & Employment Law Committee Newsletter, March 2014.
  • "Corporate Whistleblowing in the U.S.," Japan Commercial Arbitration Journal, June 6, 2012.
  • "What We Can Learn From the SEC's Office of the Whistleblower's Initial Report," International Financial Law Review, March 1, 2012.
  • "Corporate Whistleblowing in the U.S.," Employment & Industrial Relations Law, Vol. 22, No. 1, March 2012.

Speeches and Programs

  • Webcast: Renee Phillips on SEC enforcement and its impact on internal investigations from Rossdale CLE (12/3/15)
  • Webcast: Renee Phillips on Managing Internal Investigations & Corporate Compliance from Rossdale CLE (1/7/15)
  • Podcast: Renee Phillips on SEC's 1st Whistleblower Anti-Retaliation Case (7/1/14)

Admissions

  • New York

Court Admissions

  • United States District Courts | Eastern District of New York
  • United States District Courts | Northern District of New York
  • United States District Courts | Southern District of New York
  • United States Courts of Appeals | Second Circuit
  • United States Courts of Appeals | Third Circuit
  • United States Courts of Appeals | Fifth Circuit

Practice Areas

  • Whistleblower & Corporate Investigations
  • Employment Law & Litigation
  • Discrimination, Harassment & Retaliation

Honors

  • Law360 Rising Star
  • New York Law Journal Rising Star 2016
  • Employment Litigation Rising Star – New York, NY Super Lawyers 2015
  • American Society of Legal Advocates Top 40 Under 40 Labor/Employment Lawyer in New York State
  • The Recorder California Labor & Employment Department of the Year (2013-2015)
  • The Recorder California Litigation Department of the Year (2013-2014)
  • Legal Aid Society Pro Bono Award (2005)

Education

  • J.D., Industrial and Labor Relations, Harvard Law School, 2002
  • B.S., Industrial and Labor Relations, Cornell University, 1998

Clerkships/Externships

  • Hon. Robert L. Carter, United States District Court, Southern District of New York