General Labor and Employment Law

The New Whistleblower Employee Protections of the Dodd-Frank Act


The Dodd-Frank Wall Street Reform and Consumer Protection Act dramatically alters financial regulation in many areas, including by creating expansive new employee whistleblower protections. A panel of experienced employment lawyers will review the most critical features of the Act and the rules promulgated there under, analyze how the Act changes the landscape of federal whistleblower law, and discuss the challenge of compliance and litigation avoidance.



I.   What Will Be Covered
II.  Overview of Statutory Provisions
        A. Provisions 
         B. Protected Conduct
        C. Other Issues
        D.  Procedural Matters
        E.   False Claims Act
III. The Bounty Provisions
        A. History
        B. Anti-Retaliation Measures
        C. Bounty Under Dodd-Frank
        D. Confidentiality of Identity
        E. Qualifying for the Bounty
IV.  Explanation of Proposed Rules
        A. Overview
        B. Who Is a Whistleblower?
        C. What Is Original Information?
        D. Internal Compliance Procedures
V.   SEC Perspective
        A. Changes Within the SEC
        B. Review of Whistleblower Complaints
        C. Other Issues Addressed
VI.  Meeting the Challenge of Compliance and Litigation Avoidance
        A. Introduction of Subject
        B. Policies
        C. Communication
        D. Documentation
        E. What and Who Is Protected?
        F. Enforcing Policies
        G. Litigation Preparedness
        H. Best Practices
        I. Wrap-Up

Content Provided

The Association of the Bar of the City of New York

The years following the Civil War were tumultuous ones for New York City, offering many opportunities to the dishonest. Unsavory politicians and errant members of the bench and bar were among those who took advantage of those troubled times. In December 1869, a letter was circulated among some of the city’s lawyers addressing those improprieties. It called for the creation of a new bar association to “sustain the profession in its proper position in the community, and thereby enable it ... to promote the interests of the public ....” More than 200 lawyers responded by signing a declaration of organization and in 1870 The Association of the Bar of the City of New York was born. The young organization quickly made its presence felt. Among its first activities was a campaign to defeat corrupt politicians and judges at the polls and to establish standards of conduct for those in the legal profession.

The association continues to work at political, legal and social reform, and maintaining high ethical standards for the legal profession. The association also continues to implement innovative means by which the disadvantaged may be helped. Much of this work is accomplished through the Association's more than 160 committees, each charged to consider a specific area of law or the profession.

The association has grown to more than 23,000 members. To serve them, the association strives to move ahead in many areas. The library is the largest member-funded law library in the country, and provides members with a “gateway” to online services, including free use of LexisNexis and WestLaw, while continuing to provide more traditional library services. The Small Law Firm Center, Career Management Program and other benefits are constantly evolving to serve members’ needs. More than 150 continuing legal education programs are presented annually.

The public good remains one of the association’s highest priorities. The Legal Referral Service, jointly sponsored by the association and the New York County Lawyers’ Association, provides an array of services directly aimed at serving the needs of the public. The City Bar Justice Center identifies the most pressing legal concerns of New York’s neediest and uses novel approaches to address them, often involving community participation.

Speakers / Authors:

Photo of Aurora Cassirer

Aurora Cassirer
Troutman Sanders LLP

Ms. Cassirer is a partner in the New York office of Troutman Sanders LLP. She is an experienced trial attorney. Her varied litigation practice has included many business, banking, insurance, real estate, employment and professional liability matters.

She has had substantial experience in securities fraud class actions, breach of contract, qui tam, fraud, and valuation actions. She has counseled companies experiencing financial difficulties and has represented various financial institutions, including foreign and domestic banks, seeking to restructure debt. In the area of professional liability, she has defended professional liability claims against actuaries, attorneys and consultants. 

Ms. Cassirer is admitted to appear before the U.S. District Courts for the Southern and Eastern Districts of New York, the U.S. Courts of Appeals for the Second, Third and Ninth Circuits, as wels as the U.S. Supreme Court.

Ms. Cassirer received her J.D. from New York University in 1975, and a B.S. from Brooklyn College of the City University of New York in 1972.  

Photo of Bambach Alistaire

Alistaire Bambach
Securities and Exchange Commission

Alistaire Bambach has been an Assistant Regional Director and Chief Bankruptcy Counsel to the Division of Enforcement since 2001. She was previously a Senior Trial Counsel and Staff Attorney in the Division of Enforcement.

From 1986-1987, she was a law clerk for the Hon. Carl O. Bue, Jr., United States District Judge, Southern District of Texas. From 1988-1994, Ms. Bambach was associated with the firm of Weil, Gotshal & Manges in New York. Since 1995, Ms. Bambach has worked at the United States Securities and Exchange Commission.

In her current position Ms. Bambach is counsel to the SEC’s Enforcement Division on all bankruptcy and insolvency matters. Ms. Bambach is also responsible for investigating and litigating complex financial fraud cases which result in corporate insolvencies.

Ms. Bambach is a frequent lecturer on the SEC’s practices and procedures and on the intersection of the federal securities laws and bankruptcy and insolvency law. In 2006, Ms. Bambach received the Stanley Sporkin Award.

Ms. Bambach obtained a B.S. in Industrial and Labor Relations from Cornell University in 1983 and a J.D. in 1986 from the University of Houston Law Center.

Photo of Jyotin Hamid

Jyotin Hamid
Debevoise & Plimpton LLP

Jyotin Hamid is a litigation partner in the New York office of Debevoise & Plimpton LLP. His practice focuses on general commercial litigation and employment litigation. He has successfully handled numerous employment-related cases and investigations involving high-level executives in a broad range of industries. Mr. Hamid is recognized as a “rising star” by Employment Law360 (2010) - one of “10 employment lawyers under 40 to watch” - and as a leading lawyer in the “Future Stars of America,” article featured in Times Online (2008).

He is a member of the Labor and Employment Law Sections of the American and New York State Bar Associations, a member of the NYC Bar Association Labor and Employment Law Committee, a board member of the Urban Justice Center and a member of the Board of Trustees of the Lawyers’ Committee for Civil Rights Under Law.

Mr. Hamid is admitted to appear before the U.S. District Courts for the Southern and Eastern Districts of New York and the Northern District of Indiana, as well as the U.S. Courts of Appeals for the First, Second and Seventh Circuits.

Mr. Hamid received his J.D. in 1998 from Yale Law School where he was a member of the Journal of International Law, and his B.A., summa cum laude, in political science and psychology in 1995 from Tulane University, where he was a member of Phi Beta Kappa.

Photo of Robert D. Kraus

Robert D. Kraus
Kraus & Zuchlewski LLP

Robert Kraus is a founding and managing partner of Kraus & Zuchlewski LLP. He has broad and extensive experience representing executives and professionals in all areas of employment law. Mr. Kraus regularly counsels the most senior executives and other top management from scores of major U.S. and multinational corporations, as well as other highly compensated individuals in a wide range of industries.

Mr. Kraus litigates a wide variety of executive employment disputes, including whistleblower, bonus and other executive compensation, non-compete/non-solicit, ERISA, Title VII and ADEA and claw back claims. He regularly lectures before various bar association and trade groups on a number of employment law topics, including a widely attended and prestigious annual conference on employment law issues in the financial services industry.

Mr. Kraus is active in several major bar associations, including the American Bar Association, where he is a member of the Employees Rights and Responsibilities Subcommittee and co-chair of its Privacy Committee, the New York State Bar Association, where he is active in the Section on Labor and Employment Law, and the Association of the Bar of the City of New York, where he is an active member of the Employee Benefits and Executive Compensation Committee.

Mr. Kraus earned his undergraduate degree with Honors from the University of Michigan, and received his law degree from Georgetown University School of Law.

Photo of Victoria Richter

Victoria Richter
Deutsche Bank

Victoria Richter is a Director in the Legal Department of Deutsche Bank where she has advised on employment-related matters since 2004. Prior to joining Deutsche Bank, she spent several years with Proskauer Rose LLP and the New York office of Fulbright & Jaworski LLP.

Ms. Richter is active with the NYC Bar Association where she has been a member of the Labor & Employment Law Committee and the Legal Issues Affecting People with Disabilities Committee.

Ms. Richter earned her J.D. from Columbia University, a Masters in Industrial Relations from The London School of Economics and Political Science and a B.S. in Industrial and Labor Relations from Cornell University.

Price (USD)

Standard Rate: $198.00

Course Code : 773180

Length : 1hr 41min
Recorded Date : 5/16/2011

Format Type : eLearning

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