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Lloyd B. Chinn

Lloyd B. Chinn

Proskauer Rose LLP


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U.S. Supreme Court to Decide Whether SOX’s Whistleblower Provision Protects Employees of Publicly Traded Company’s Contractors

On May 20, 2013, the United States Supreme Court granted a petition for a writ of certiorari to review the United States Court of Appeals for the First Circuit’s decision holding that SOX’s whistleblower protection does not...more

5/21/2013 - Contractors OSHA Publicly-Traded Companies Retaliation SCOTUS Whistleblowers

Tyco Seeks En Banc Review of Controversial Third Circuit Wiest v. Lynch Decision

Tyco Electronics Corporation filed a Petition for Rehearing En Banc with the Third Circuit on April 2, 2013 asking the court to reconsider its March 19 decision in Wiest v. Lynch, No. 11-cv-4257, 2013 U.S. App. LEXIS 5345 (3d...more

4/4/2013 - Sarbanes-Oxley Tyco Whistleblowers Wiest v Lynch

Third Circuit Lowers Bar For Determining Whether Internal Complaint Is SOX Protected Activity

In Wiest v. Lynch, No. 11-cv-4257, 2013 U.S. App. LEXIS 5345 (3d Cir. March 19, 2013), the Third Circuit gave Chevron deference to U.S. Department of Labor Administrative Review Board’s (ARB) interpretation of “protected...more

3/26/2013 - DOL Protected Activity Sarbanes-Oxley SEC Split of Authority Whistleblowers

Consumer Financial Protection Bureau Remains In Limbo

The authority and leadership of the Consumer Financial Protection Bureau (CFPB), a body created by Dodd-Frank to regulate consumer protection of financial products and services, continues to remain in limbo in the wake of the...more

3/19/2013 - Barack Obama Canning v NLRB CFPB Dodd-Frank NLRB Recess Appointments Richard Cordray

Amendment to NYC Human Rights Law Provides New Whistleblower Protections

On March 13, 2013, the New York City Council overrode Mayor Bloomberg’s veto of a new Local Law that amends the New York City Human Rights Law (“NYCHRL”) to prohibit discrimination against job applicants based on their...more

3/18/2013 - Local Ordinance NYCHRL Retaliation Whistleblowers

Second Circuit “Clarifies” SOX Burden-Shifting Framework

On March 5, 2013, the U.S. Court of Appeals for the Second Circuit “clarified” the burden-shifting framework for whistleblower claims brought under Section 806 of the Sarbanes-Oxley Act of 2002 (“SOX”), 18 U.S.C. § 1514A....more

3/7/2013 - Burden-Shifting DOL OSHA Sarbanes-Oxley Whistleblowers

FINRA: The FAA Requires Enforcement of Judicial Class Action Waiver in Pre-Dispute Arbitration Agreement But Does Not Preempt...

On February 21, 2013, the Financial Industry Regulatory Authority (FINRA) issued a written decision finding that the Federal Arbitration Act (FAA) bars FINRA from enforcing FINRA Rules intended to preserve judicial class...more

3/7/2013 - Arbitration Case Consolidation Class Action Federal Arbitration Act FINRA

ALJ Applies Villanueva Factors, Finds Overseas Employee’s Whistleblower Claim “Territorial”

In Dos Santos v. Delta Airlines, Inc., 2012-AIR-20 (ALJ Jan. 11, 2013), an Administrative Law Judge (ALJ) of the U.S. Department of Labor (DOL) examined whether the facts alleged by the complainant required a territorial or...more

3/5/2013 - Adverse Employment Action DOL Extraterritoriality Rules FAA OSHA Whistleblowers

Public Interest, Good Faith and Whistleblowing – The Latest From The UK

The UK Government is in the process of making important changes to UK whistleblowing legislation (which will be implemented through the Enterprise and Regulatory Reform Bill). The key changes, which are expected to come into...more

2/19/2013 - Covenant of Good Faith and Fair Dealing Enterprise and Regulatory Reform Act Public Interest Public Interest Disclosure Act Whistleblowers

2012 EEOC Year in Review – Retaliation Charges Continue to Rise

According to a recently released report, the EEOC received more retaliation charges in 2102 than in any prior year. And, in 2012, it received more retaliation charges than in any other individual category....more

1/29/2013 - EEOC Retaliation Whistleblowers

OSHA Whistleblower Program: Record Number of Cases Filed & Resolved In 2012

OSHA recently released statistics (aggregated by BNA) showing dramatic increases in both the number of whistleblower cases filed with OSHA last year as well as the number of OSHA determinations....more

1/28/2013 - Dodd-Frank OSHA Sarbanes-Oxley Whistleblowers

District Court Requires SOX Plaintiff To Assert Shareholder Fraud, Consistent with Statute’s Purpose

The U.S. District Court for the District of North Carolina recently dismissed a plaintiff’s Sarbanes-Oxley whistleblower complaint on the ground that the plaintiff had not alleged shareholder fraud....more

1/18/2013 - Dismissals Dodd-Frank Fraud Sarbanes-Oxley Shareholders Whistleblowers

SEC Whistleblower Chief: Companies and Their Lawyers Should Not Impede Whistleblowing

In a recent interview with The American Lawyer, Sean McKessey, Chief of the SEC’s Office of the Whistleblower since February 2011, cautioned employers about dissuading potential whistleblowers from complaining to the SEC....more

12/12/2012 - Dodd-Frank SEC Whistleblowers

A Clear Illustration of How HR & Employment Law Best Practices Intersect With Compliance

On November 14, 2012, the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) jointly issued a guide to the Foreign Corrupt Practices Act (FCPA) titled: A Resource Guide to the U.S. Foreign Corrupt...more

11/29/2012 - Compliance DOJ FCPA FCPA Resource Guide SEC Whistleblowers

FINRA Rule Amended: Whistleblower Claims Not Subject To Mandatory Arbitration

The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd Frank) amended the whistleblower provision in Section 806 of the Sarbanes-Oxley Act of 2002 (SOX) to state that pre-dispute arbitration agreements that...more

11/26/2012 - Arbitration Agreements FINRA Sarbanes-Oxley SEC Whistleblowers

SEC Annual Report: Thousands of Tips, One Award & Minimal Transparency

In its Annual Report on the Dodd-Frank Whistleblower Program (Report), the SEC has revealed that it has received 3,001 tips during its 2012 fiscal year (the first year of this program), and it paid out its first award to a...more

11/21/2012 - Dodd-Frank Fraud Sanctions SEC Transparency Whistleblowers

ARB Says “Convenience Leave” Letter Does Not Trigger SOX Statute of Limitations

On August 31, 2012, the Administrative Review Board (ARB) of the U.S. Department of Labor (DOL) liberally interpreted the standard governing when the SOX statute of limitations clock starts ticking, ruling that a letter...more

11/19/2012 - DOL Statute of Limitations Whistleblowers

OSHA Announces ADR Pilot Program

The Occupational Safety and Health Administration (OSHA), which is charged with enforcing the whistleblower protection provisions in 22 separate statutes – ranging from Section 806 of the Sarbanes-Oxley Act of 2002 to...more

11/19/2012 - Conflict Resolution EOO Mediation OSHA Sarbanes-Oxley Whistleblowers

The Fight Isn’t Over: Employers Should Keep Battling The Definition of “Whistleblower” Under Dodd-Frank

The “Securities Whistleblower Incentives and Protection” section of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“DFA”) is an integrated scheme designed to encourage individuals to complain to the...more

11/19/2012 - Dodd-Frank Retaliation Sarbanes-Oxley SEC Securities Whistleblowers

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