Category Archives: Confidentiality

The Complaint Came Too Late: J.P. Morgan Caught Filing FINRA Complaints After Firing Whistleblower

A former broker for J.P. Morgan Chase was fired by the bank due, in part, to complaints about him filed by current and former customers with the Financial Industry Regulatory Authority (FINRA). However, later investigations determined both that some of … Continue reading

Posted in Confidentiality, New York, Retaliation, Securities & Exchange Commission, Whistleblower, Wrongful Termination | Leave a comment

Overlapping Regulations Compel Extreme Caution by California Employers Before Conducting Employee Background Checks

California has two laws that regulate consumer information that can be collected and provided to employers for use during the process of making employment decisions. Unfortunately, each of the laws have differing disclosure and authorization requirements with which California employers … Continue reading

Posted in Background Check, California, California Civil Code, California Labor Code, CCRAA, Confidentiality, Consumer Credit Reports, Employee Policies & Procedures, Fair Credit Reporting Act, ICRAA | Leave a comment

SEC Takes Action Against Employer Confidentiality Clauses That Could Limit Employee Whistleblowing

Recently, the Securities Exchange Commission (“SEC”) warned that it will investigate and take administrative action against employers who require employees to sign confidentiality agreements/statements prohibiting the employees from communicating the employer’s possible securities law violations to the SEC (i.e. whistleblowing).

Posted in Confidentiality, Employee Policies & Procedures, Employment Contracts, Noncompete Agreements, Securities & Exchange Commission, Whistleblower | Tagged | Leave a comment