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

 
Author(s): Michael Delikat, Renee Phillips
Practice Area: Corporate law, Corporate litigation, Employment and labor, Employment discrimination, Litigation, Regulation and compliance (Corporate law), Regulation and compliance (Securities and other financial products), Retaliation (Employment discrimination), Securities and other financial products, Securities litigation, Whistleblowers
Published: Sep 2011
Supplement Date: Oct 2021 i Other versions can be found in the Related Items tab.
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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Michael Delikat, a partner in the New York office, was the previous Chair of Orrick's Global Employment Law Practice for over twenty years, 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 Mike's leadership, Orrick’s Employment Law & Litigation group was recently named Labor & Employment Department of the Year in California for the fourth consecutive year 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. Chambers USA and Chambers Global has ranked him in Band 1 since it began publishing its rankings, noting he is a "giant of the employment bar, widely regard as an expert in whistleblowing matters and sex harassment claims","sought out by premier clients to handle high-stakes employment litigation and investigations," and "a very persuasive advocate who knows the law inside out and is able to get to the heart of the issue very quickly."

He represents a broad range of major corporations and other institutions including law firms in all facets of labor and employment law. Mike has an active trial, arbitration and appellate practice and handles a number of high-visibility class action and impact cases. 

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.

Mike 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. He is the outgoing management chair of the ABA International Employment Law Committee. He also is an Advisory Board Member of the Harvard Law School Program on Corporate Governance.  About the HLS Forum on Corporate Governance (harvard.edu)


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