Financial Company In Violation of SEC Terminates Whistleblower


Corporate Governance ExpertThis case involves a whistleblower who was employed as a manager by a financial firm. The employee was tasked with projecting a sales quota for the coming quarter. In the course of preparing her report, she allegedly demonstrated that the firm had been over-projecting for 12 quarters. She was dismissed from her position once she reported her findings. An expert in the application of section 404 to review the case and opine on the reporting requirements of publicly traded companies.

Question(s) For Expert Witness

  • 1. Please describe your experience in securities and corporate governance.

Expert Witness Response E-007726

I represented public companies while an associate at a major law firm for five years. I have taught securities law since 1999, including reporting requirements. I have served on a board of a publicly traded company and regularly helped prepare and review their SEC filings.

Expert Bio:

This expert is trained as a securities lawyer and has extensive experience preparing and analyzing disclosure of a wide range of corporate risks, including environmental risk and financial conditions. He has represented investment banks, issuers, and investors in a wide range of transactions requiring the assessment and disclosure of risk. He has published and presented dozens of research papers on the subjects of corporate governance and law, labor law, and the global economy. This expert is also a MacArthur Fellow and lectures regularly at his university’s business school.

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