Corporate Whistleblowing in the Sarbanes-Oxley/Dodd-Frank Era (Second Edition)
Author(s): Michael Delikat, Renee Phillips Practice Area: Corporate & Securities, Employment, Litigation Published: Sep 2011 Supplement Date: Oct 2020 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.
Mike Delikat, a partner in the New York office, is the founder of the firm’s Whistleblower Task Force.
Chambers Global2018 Guide lists Mike as one of only nine Band 1 ranked Labor and Employment attorneys in the United States. Under Mike's leadership as the Global Practice Group Leader for over twenty years, Orrick’s Employment Law & Litigation group was named Employment 360 Practice Group of the Year on multiple occasions including for 2018 and has received multiple other awards.
He represents a broad range of major corporations with a focus on the financial services industry 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 is a leading lawyer representing companies in whistleblower matters and frequently is called on to conduct high level and sensitive internal investigations by boards of directors. He is the co-author of PLI's Corporate Whistleblowing in the Dodd-Frank/Sarbanes Oxley Era, the leading treatise on that subject. He also has an active practice advising companies and Boards of Directors on #Metoo investigations and gender pay equity litigation and strategy responding to shareholder proposals.
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 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.
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)
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
Whistleblower & Corporate Investigations
Employment Law & Litigation
Discrimination, Harassment & Retaliation
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)
J.D., Industrial and Labor Relations, Harvard Law School, 2002
B.S., Industrial and Labor Relations, Cornell University, 1998
Hon. Robert L. Carter, United States District Court, Southern District of New York