Steven J. Pearlman

Steven J. Pearlman

Proskauer Rose LLP

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OSHA Releases Interim Dodd-Frank Whistleblower Regulations

OSHA recently released the interim final text of regulations implementing the whistleblower protection provision (Section 1057) in Dodd-Frank. The interim final regulations establish the timing and processes for handling...more

4/14/2014 - Administrative Review Board ALJ Dodd-Frank DOL OSHA Retaliation Sarbanes-Oxley Whistleblower Protection Policies

First-Ever SEC Bounty Winner Receives Additional Payout

The SEC Office of the Whistleblower recently announced that the first-ever whistleblower award under the Dodd-Frank Whistleblower Program will be increased by $150,000 based on additional assets the SEC collected from one the...more

4/9/2014 - Dodd-Frank SEC Whistleblower Protection Policies Whistleblowers

OSHA Issues Substantial Award To SOX Whistleblower Claiming “Blacklisting”

According to a news release from OSHA, OSHA recently ordered DISH Network (the “Company”) to pay a former employee over $257,000 in back wages and compensatory damages, plus reasonable attorneys’ fees, and to expunge his...more

4/2/2014 - Blacklist OSHA Sarbanes-Oxley

N.J. Court Sends Dodd-Frank Whistleblower Claim To Arbitration

The U.S. District Court for the District of New Jersey recently held that the Dodd-Frank Act does not operate retroactively to bar pre-dispute arbitration agreements, and thus required a plaintiff to arbitrate his Dodd-Frank...more

3/21/2014 - Arbitration Dodd-Frank Whistleblowers

SEC’s Amicus Brief: Internal Whistleblower Reports Covered By Dodd-Frank Anti-Retaliation Provision

As we previously discussed, courts have struggled with determining the scope of the protections in Dodd-Frank’s anti-retaliation provisions. On the one hand, Dodd-Frank defines a “whistleblower” as any individual, or group of...more

3/21/2014 - Anti-Retaliation Provisions Dodd-Frank Retaliation Sarbanes-Oxley SEC Whistleblowers

Illinois Whistleblower Awarded $3 Million Following Jury Trial

In what appears to be an alarming trend for employers, the Chicago Tribune recently reported that a former Chicago State University employee was awarded $3 million after a Cook County, Illinois jury found that the University...more

3/18/2014 - Corporate Counsel Jury Trial Jury Verdicts Retaliation Whistleblower Awards Whistleblowers

$6 Million SOX Whistleblower Verdict In California

On March 5, 2014, a California jury awarded $6 million to a former accounting executive at Playboy Enterprises Inc. (the “Company”), finding that the Company discharged the former employee in violation of Section 806 of SOX....more

3/11/2014 - Corporate Counsel Enforcement Actions Jury Verdicts Sarbanes-Oxley SEC

U.S. Supreme Court Extends SOX's Whistleblower Protection To Employees of Publicly Traded Company's Contractors

On March 4, 2014, the United States Supreme Court decided Lawson v. FMR LLC, holding that SOX's whistleblower protection extends to employees of a publicly traded company's contractors and subcontractors. Lawson v. FMR LLC,...more

3/7/2014 - Contractors Fidelity Investments FMR LLC Lawson v FMR Sarbanes-Oxley SCOTUS Subcontractors Whistleblower Protection Policies Whistleblowers

U.S. Supreme Court Extends SOX’s Whistleblower Protection To Employees of Publicly Traded Company’s Contractors

On March 4, 2014, the United States Supreme Court in Lawson v. FMR LLC held that SOX’s whistleblower protection extends to employees of a publicly traded company’s contractors and subcontractors. Lawson v. FMR LLC, 572 U.S....more

3/5/2014 - Contractors Employee Definition Fidelity Investments FMR LLC Lawson v FMR Sarbanes-Oxley SCOTUS Securities Exchange Act Subcontractors Whistleblowers

Federal District Court Deepens Divide Over SOX Whistleblower “Protected Activity”

On February 21, 2014, the District of Puerto Rico strayed from a prominent decision out of the First Circuit that employed the “definitively and specifically” standard governing protected activity under Section 806 of SOX,...more

3/4/2014 - Protected Concerted Activity Sarbanes-Oxley Whistleblowers

Story Behind $14M Whistleblower Bounty Award Begins To Surface

On November 19, 2013, we reported on a record-breaking $14 million whistleblower bounty payout by the SEC. Earlier today, the Wall Street Journal reported that this award arose from an alleged “Chicago-based scheme to defraud...more

2/28/2014 - SEC Whistleblower Awards Whistleblowers

SEC’s Strategic Plan Includes Reliance On Whistleblower Tips

The U.S. Securities and Exchange Commission (SEC) published (for public comment) a draft strategic plan, which sets forth its goals and objectives for fiscal years 2014 through 2018. The SEC’s “strategic objectives” include:...more

2/11/2014 - Dodd-Frank Retaliation SEC Whistleblowers

District Court Denies Summary Judgment On Internal Audit/SOX Administrator’s Whistleblower Claim

In denying a bank’s bid for summary judgment on an Internal Audit and SOX Administrator’s SOX whistleblower claim, the U.S. District Court for the Western District of Washington highlighted the present conflict on the...more

1/20/2014 - Adverse Employment Action Audits Banking Sector Fraud Internal Audit Functions Protected Activity Sarbanes-Oxley Whistleblowers

ARB: No SOX Whistleblower Liability Where Termination Of In-House Counsel Was Based On Insubordination

The ARB recently affirmed an ALJ’s decision that American Commercial Lines Inc. (the “Company”) did not violate the whistleblower protection provision in Section 806 of SOX where the Company demonstrated by clear and...more

1/16/2014 - Corporate Counsel Insubordination Policy Sarbanes-Oxley Termination Whistleblowers

ARB: “Clear And Convincing Evidence” Needed To Support After-Acquired Evidence Doctrine

The ARB recently ruled that an employer advancing an after-acquired evidence defense in an AIR 21 whistleblower case must prove the defense by clear and convincing evidence. Clemmons v. Ameristar Airways, Inc., ARB No....more

1/8/2014 - Clear and Convincing Evidence Evidence Whistleblowers

S.D.N.Y. Dismisses SOX Whistleblower Case, Applying Strict Protected Activity Standard And Finding No Causation

On December 12, 2013, the U.S. District Court for the Southern District of New York granted an employer summary judgment on a long-running SOX whistleblower claim. Sharkey v. J.P. Morgan Chase & Co., No. 10-cv-3824 (S.D.N.Y....more

12/17/2013 - Hiring & Firing JPMorgan Chase Protected Activity Sarbanes-Oxley Termination Whistleblowers

Virginia District Court Opens Door To Front Pay For SOX Whistleblowers

In a SOX whistleblower case of first impression, the U.S. District Court for the Eastern District of Virginia ruled that front pay may be ordered in lieu of reinstatement. However, the court ultimately determined that front...more

12/3/2013 - Front Pay Reinstatement Sarbanes-Oxley SEC Whistleblowers

OSHA Issues Another $1 Million+ Whistleblower Award, Along With Reinstatement

On November 13, 2013, OSHA issued a press release stating that it ordered Gaines Motor Lines (the “Company”) to pay a total of $1,070,123 four whistleblowers, along with reinstatement. The press release indicates that...more

11/19/2013 - DOT OSHA Reinstatement Whistleblower Awards Whistleblowers

Georgia Federal Court Rules That Dodd-Frank Whistleblowers Are Not Entitled To A Jury Trial

On November 12, 2013, a Georgia district court ruled that Dodd-Frank whistleblowers are not entitled to a jury trial or punitive damages. Pruett v. BlueLinx Holdings, Inc., No. 13-cv-02607 (N.D. Ga., Nov. 12, 2013). This is a...more

11/14/2013 - Dodd-Frank Jury Trial Punitive Damages Retaliation Trials Whistleblower Protection Policies Whistleblowers

N.D. Ill. Denies Employer Summary Judgment On Retaliation Claim, Stressing Shifting Explanation For Discharge

The U.S. District Court for the Northern District of Illinois recently ruled that a retaliation claim survived summary judgment because of the “convincing mosaic” of evidence of retaliation the Plaintiff presented,...more

11/12/2013 - Discrimination EEOC Evidence Hiring & Firing Retaliation Summary Judgment Termination

Another Whistleblower Bounty From The SEC

On October 30, 2013, the SEC announced that it rendered a $150K award to an anonymous whistleblower whose tips allegedly helped thwart a scheme to defraud investors. The bounty equals 30% of the proceeds the SEC collected in...more

11/6/2013 - SEC Whistleblower Awards Whistleblowers

What’s The State Of The CFTC Whistleblower Program?

The SEC’s whistleblower program has received tremendous attention, but let’s not forget about the Commodity Futures Trading Commission’s (CFTC) whistleblower program, which also was created by Dodd-Frank. A recent article...more

10/29/2013 - CFTC Compliance Dodd-Frank SEC Whistleblower Protection Policies Whistleblowers

SEC Issues $14 Million Whistleblower Bounty

On September 30, 2013, the last day of the fiscal year, the SEC awarded more than $14 million to a tipster who provided details that led to a substantial recovery of investments in an enforcement action. Though only the third...more

10/10/2013 - SEC Whistleblower Awards Whistleblowers

OSHA Awards $1.9 Million To SOX Whistleblower

On September 30, 2013, OSHA awarded more than $1.9 million to a former CFO of Clean Diesel Technologies, Inc. (the Company) (based in Ventura, California) who is not identified in OSHA’s press release. This award is based on...more

10/9/2013 - OSHA Sarbanes-Oxley Whistleblower Awards Whistleblowers

Texas Federal Court Gives SOX Whistleblower Another Big Bite At The Apple

The U.S. District Court for the Northern District of Texas recently ruled that a plaintiff had the right to a de novo review of her SOX whistleblower claims in federal district court even though she had already participated...more

10/7/2013 - DOL Sarbanes-Oxley Whistleblowers

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