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Description: The Securities and Exchange Commission’s Whistleblower Program was created in 2010 to assist the SEC in discovering securities law violations by providing incentives for individuals to report possible violations. The Program has been successful; to date, the SEC has received tens of thousands of whistleblower tips, resulting in more than $2 billion in monetary sanctions, and has awarded more than $700 million to whistleblowers whose tips resulted in enforcement actions. On September 23, 2020, the SEC voted to amend the Program’s rules in order “to provide greater clarity to whistleblowers and increase the program’s efficiency and transparency.” The amendments—effective December 7, 2020—include changes to the way the SEC determines awards, changes that streamline the process for submitting and evaluating tips, and clarifies various definitions. The changes may incentivize whistleblowers to report possible securities law violations, and companies should ensure that their internal whistleblower policies are current and provide adequate internal processes for investigating complaints and protecting whistleblowers from retaliation.
Presenter Bios (to be included with description of program)
Jay Dubow co-leads the securities investigations and enforcement practice at Troutman Pepper. He focuses his practice on complex business litigation, with a special emphasis on defending against shareholder derivative and securities class action litigation. He also represents clients involved in investigations by the U.S. Securities and Exchange Commission (SEC) the Pennsylvania Department of Banking and Securities, and various self-regulatory organizations, including the Financial Industry Regulatory Authority, Inc. (FINRA). He also conducts internal investigations on behalf of clients. Such investigations have included allegations involving the Foreign Corrupt Practices Act (FCPA), whistle blower claims, financial fraud, and civil and criminal violations of various federal and state laws.
Jay also counsels cannabis and CBD industry clients on corporate and regulatory issues, as well as the potential risks both for cannabis-focused companies and non-industry participants doing business with cannabis companies.
Jay previously worked at a public credit card company as senior vice president, general counsel, and chief administrative officer. Jay began his career as a staff attorney and then branch chief in the Division of Enforcement of the SEC in Washington, D.C.
Active in local and national bar associations, Jay is a leader in the American Bar Association’s Business Law Section and currently serves as vice chair of the Business and Corporate Litigation Committee, co-chair of the Cannabis and Alcoholic Beverages Subcommittee, and vice chair of the Criminal and Enforcement Litigation Subcommittee. He is on the editorial board of The Business Lawyer, the law review of the Section of Business Law of the American Bar Association.
Robert Hickok - In his practice, Bob is particularly interested in the application of economic analysis to resolve legal issues. He has used economic analysis in antitrust cases (product and market definition and product pricing), federal securities law cases (the efficient capital market theory), and commercial contract cases (measure of damages). In addition, Bob has substantial experience in litigation concerning the application of various accounting principles and is interested in applying technology to information and litigation management.
Previously, Bob worked as a federal prosecutor in the U.S. Attorney’s Office in Philadelphia, where he conducted numerous fraud, corruption, and tax prosecutions. Bob has been an adjunct professor at Drexel University Kline School of Law and Rutgers-Camden School of Law, where he taught courses in law and economics and professional responsibility.
A magna cum laude graduate of Harvard Law School, Bob was an editor of the Harvard Law Review and was one of two students in the second-year class awarded the Sears Prize for having the highest annual academic average. While at Harvard, he also received a master’s degree in law and economics.
Kaitlin L. Meola is an associate in the Philadelphia office and a member of the firm’s litigation practice.
 | | Practice Areas: | | Corporate & Securities | | | Online Media Type: | | Audio | | | Production Date: | | 02/24/2021 12:00 PM EST | | | Level: | | Intermediate | | | Category: | | Standard | | | Duration: | | 1 Hours, 0 Minutes | | | Online Format: | | Live | | | Course Type: | | Public |
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| | • | Jay Dubow - Troutman Pepper Hamilton Sanders LLP | | • | Robert Hickok - Troutman Pepper Hamilton Sanders LLP | | • | Kaitlin Meola, Esq. - Troutman Pepper Hamilton Sanders LLP |
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