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Programs in Regulatory and Administrative Law

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Who Qualifies as a Whistleblower under Sarbanes-Oxley?

Program Number: 2402 Presenter: Roger A. Lane, Esq., Michael Thompson, Esq., Courtney Worcester, Esq.

This November the United States Supreme Court will hear argument in Lawson v. FMR, LLC, which tackles the issue of whether whistleblowers employed by a privately held contractor or subcontractor of a publicly traded company are protected from retaliation under SOX. In the lower court’s opinion in Lawson, the First Circuit answered the question in the negative. Soon after, the Administrative Review Board reached the opposite conclusion and specifically declined to follow Lawson. Join Roger Lane, Courtney Worcester and Michael Thompson as they review the split of authority on this issue, analyze the arguments presented by the parties to the Supreme Court, and provide their assessment of which way the Supreme Court may rule.

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Deal Developments for In-House Counsel

Program Number: 2357 Presenter: Roger A. Lane, Esq., Michael Thompson, Esq., Courtney Worcester, Esq.

The market for corporate deals, whether M&A or going private transactions, remains relatively robust (at least compared to what it was a few years ago). Such transactions trigger fiduciary obligations of directors, officers, and at times, stockholders, and are often magnets for lawsuits. Join Roger Lane, Courtney Worcester and Michael Thompson as they provide an update on the courts' current views of various deal terms, thoughts on the recent use of intervening event clauses (aka, a buyer’s MAC), the implications for boards in deals with such clauses, as well as a discussion of the unique challenges faced by boards contemplating transactions with their major stockholders.

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Early Case Assessment Considerations for In-House Counsel Confronted with Corporate Governance and Whistleblower Litigation under the Dodd-Frank Act

Program Number: 2356 Presenter: Roger A. Lane, Esq., Courtney Worcester, Esq.

The Dodd-Frank Wall Street Reform and Consumer Protection Act has generated significant litigation in the past couple of years. As litigation involving the Act is only expected to increase, it is time to assess what we have learned thus far to assist in-house counsel faced with this new litigation landscape. Join Roger Lane and Courtney Worcester for a discussion of how Dodd-Frank changed the landscape of corporate governance and whistleblower cases and what procedural issues will need to be tackled by both litigants and courts in the early stages of such cases.

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Social Media, the News, and Stock Price: Tips for In-House Counsel When the Company’s Stock Comes under Attack

Program Number: 2355 Presenter: Roger A. Lane, Esq., Michael Thompson, Esq., Courtney Worcester, Esq.

In the past few years, several companies have faced public attacks from short sellers, bloggers or others usually alleging wrongdoing by the company or its executives. Some deride this phenomenon as baseless opportunism; others, as important whistleblowing that increases corporate transparency and accountability. Either way, in-house counsel must be prepared to help their companies assess the allegations, collect the facts, and respond quickly. Join Roger Lane, Courtney Worcester, and Michael Thompson as they discuss the ways in which a company’s stock can be publicly attacked; what in-house counsel can do to respond; and the costs and benefits of responding.

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Understanding the Brand New Ethics Rules before the USPTO, from the Celesq-West LegalEdcenter IP Master Series

Program Number: 2354IP Presenter: Michael J. Kasdan, Esq.- Amster, Rothstein

Revisions to the USPTO Rules of Professional Conduct (“the Rules”) took effect on May 3, 2013. This latest version of the Rules (“the Current Rules”) was the result of a rulemaking process that began in late 2012. On October 18, 2012, the USPTO announced its intention to revise the Rules and a list of proposed revisions. Following a comment period and additional consideration of the proposed revisions by the USPTO, adoption of the Current Rules was announced on April 3, 2013. The Current Rules are designed to track the language of the ABA Model Rules of Professional Conduct and ethics rules adopted by state bars. Notable material in the Current Rules include revised provisions governing the eligibility to practice before the USPTO, new standards for handling confidential information and trial publicity, and revised duties owed by practitioners to clients. Join Michael J. Kasdan for a discussion of the differences between the new rules and the prior regime,

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Whistleblower Retaliation Suits after Asadi v. GE Energy: How the Fifth Circuit Changed Legal Precedent and Existing Practices under Dodd-Frank

Program Number: 2353 Presenter: Michael Thompson, Esq., Courtney Worcester, Esq.

Among the Dodd-Frank Wall Street Reform and Consumer Protection Act’s key provisions is the anti-retaliation provision, which provides whistleblowers a private right of action against employers who retaliate against them for reporting wrongdoing. However, Dodd-Frank does not specify to whom the whistleblower has to report in order to qualify for anti-retaliation protection. Several District Court cases have concluded that protection exists for individuals who disclose to someone other than the SEC. Now, in the only Circuit Court decision on the issue, Asadi v. GE Energy (USA) LLC, 2013 U.S. App. Lexis 14470 (5th Cir. 2013), the Fifth Circuit has just held that the anti-retaliation provision creates a private cause of action only for those who provide information directly to the SEC. Join Courtney Worcester and Michael Thompson as they discuss the anti-retaliation provision, the various approaches taken by District Courts when confronted with the issue, the Asadi holding, and its implications

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Mobile Applications: The Intellectual Property and Privacy Risks that all Lawyers Must Know to Protect their Clients from the Risks and Pitfalls in Developing and Managing Them

Program Number: 2352 Presenter: Aaron Tantleff, Esq.

In the second part of our series on Mobile Application development, Aaron Tantleff of Foley & Lardner LLP continues the discussion regarding the legal risks involved in developing, launching and managing mobile applications in 2013 and beyond, focusing on the privacy and intellectual property issues associated with the development, distribution and use of the mobile applications, including: • Real-life examples of privacy and intellectual property issues that put the mobile application at risk, and what can be done to prevent and mitigate the issues; • Privacy and review of data and information collected through mobile applications (e.g., personal data and geolocation) and how to think about the process; data-sharing agreements; data collection; and e-Discovery issues; • Enforcing trademark and copyright rights in secondary app stores and other enforcement strategies; • Understanding some of the hidden risks of mobile applications (including the App Stores themselves, use of Open Source, and third party services); and • Risks companies

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The Supreme Court's Labor and Employment Decisions from the 2012-2013 Term and a Preview of Next Term's Cases

Program Number: 2349 Presenter: Eric S. Dreiband, Esq.

Former U.S. Equal Employment Opportunity Commission (EEOC) General Counsel Eric Dreiband, currently a partner at Jones Day, reviews the Supreme Court's labor and employment law decisions from the 2012-2013 terms, including the Court's rejection of EEOC's positions in decisions about retaliation and harassment and its significant rulings about the Federal Arbitration Act, and the impacts of those decisions on employment law and employment class actions. Also discussed: the Supreme Court's upcoming term and cases that will be decided regarding the President's power to make recess appointments to the National Labor Relations Board and a major class action that will decide significant issues under the Fair Labor Standards Act.

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A Review of EEOC's Fiscal Year ending September 2013 and a Look at What to Expect Next Year

Program Number: 2346 Presenter: Eric S. Dreiband, Esq.

Former U.S. Equal Employment Opportunity Commission (EEOC) General Counsel Eric Dreiband, currently a partner at Jones Day, reviews the EEOC's fiscal year ending September 30, 2013, including significant regulatory and policy documents issued by EEOC; its significant wins and losses in the courts, and Supreme Court decisions that considered its position; Congressional oversight of the EEOC; and other significant developments. Also discussed are EEOC’s potential actions, plans and strategies for the coming year.

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Financial Fraud: Avoiding the Path of the New SEC Investigative Priority

Program Number: 2343 Presenter: Thomas O. Gorman, Esq.

Financial fraud has long been an enforcement priority for the SEC, yet in recent years the number of cases has steadily declined as the Enforcement Division focused on insider trading and Ponzi schemes. Since new SEC Chair Mary Jo White took over, the Commission has indicated that it is preparing to address this critical area and is bolstering its investigative tools by creating new search programs to analyze filings made with it. This is apparently the first step in adding to the SEC’s tools in this area. In this program especially for in-house and outside corporate, securities and white collar attorneys, Tom Gorman helps you prepare your company or clients to avoid being caught up in this new SEC trend. Topics include analysis of historic SEC trends in this area, and the approach being used to develop the new tools and plot future directions that the Enforcement Division is

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