The SEC has begun to bring enforcement actions against companies whose employment and client agreements could appear to infringe on the right to report cases in violation of Section 21f-17(a) of the Exchange Act. On September 9, 2024, the Securities and Exchange Commission (SEC) announced that it settled charges against seven public companies for more than $3 million in combined civil penalties for including language in their employment, consulting and other agreements that potentially discourages whistleblowers from reporting issues to outside authorities.… Continue Reading
Michael Robotti
Michael P. Robotti | robottim@ballardspahr.com | 646.346.8020 | view full bio
As a member of the U.S. Attorney’s Office for the Eastern District of New York for nearly eight years, Mike served as deputy chief of the International Narcotics & Money Laundering section and as senior trial counsel for the Business and Securities Fraud section. Mike was a member of the trial team that prosecuted Joaquín “El Chapo” Guzmán Loera—the leader of the Sinaloa Cartel, the world’s largest drug cartel. Mike handles internal and government investigations, white collar defense and complex litigation. He also advises financial institutions and businesses on their BSA/AML obligations, as well as other compliance requirements, with a focus on issues involving cannabis, cryptocurrency—including scams and theft—and anti-corruption.
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