Steven J. Pearlman

Steven J. Pearlman

Proskauer Rose LLP

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Latest Posts › Anti-Retaliation Provisions


Kansas Court Dismisses Dodd-Frank Whistleblower Claim for Failure to Complain of Securities Violations

On November 5, 2015, the District of Kansas dismissed a whistleblower retaliation claim under Dodd-Frank, ruling that the statute’s anti-retaliation provision only protects individuals who report securities violations.  Azim...more

11/16/2015 - Anti-Retaliation Provisions Dodd-Frank Popular Securities Violations Whistleblower Protection Policies Whistleblowers

N.D. Ill. Expands Definition of Protected Activity Under Ill. Whistleblower Act

On October 29, 2015, the Northern District of Illinois concluded that an employee who called police regarding suspected shoplifting—in violation of company policy—succeeded in proving a claim under the Illinois Whistleblower...more

11/10/2015 - Anti-Retaliation Provisions Protected Activity Termination Third-Party Whistleblowers

N.D. Cal.: Internal Whistleblowers Are Protected and May Sue Individual Directors

On October 23, 2015, the U.S. District Court for the Northern District of California largely denied a motion to dismiss a whistleblower retaliation claim brought by a company’s former general counsel, ruling that: (I) the SOX...more

10/30/2015 - Anti-Retaliation Provisions Board of Directors CEOs Directors Dodd-Frank Internal Reporting Motion to Dismiss Personal Liability Retaliation Sarbanes-Oxley Termination Whistleblower Protection Policies Whistleblowers

ARB Rules That Secret Recording of Workplace Conversations Can Be Protected Whistleblowing Activity

On September 28, 2015, the U.S. Department of Labor Administrative Review Board (“ARB”) held that the recording of workplace conversations can be protected whistleblower activity under the Energy Reorganization Act of 1974...more

10/13/2015 - Administrative Review Board Anti-Retaliation Provisions Audio Recording Consent DOE DOL Employee Handbooks Energy Reorganization Act Insubordination Policy Protected Activity Tape Recordings Termination Whistleblowers Workplace Communication

California District Court Follows Asadi, Dismisses Dodd-Frank Whistleblower Claim

On September 8, 2015, the United States District Court for the Central District of California dismissed a whistleblower retaliation claim, ruling that Dodd-Frank’s anti-retaliation provision only protects whistleblowers who...more

9/24/2015 - Anti-Retaliation Provisions Dodd-Frank Internal Reporting SEC Split of Authority Whistleblower Protection Policies Whistleblowers Wrongful Termination

N.D. Illinois Grants Summary Judgment Against SOX Whistleblower

On August 26, 2015, the U.S. District Court for the Northern District of Illinois granted summary judgment on a whistleblower retaliation claim under Section 806 of SOX, holding that Plaintiff Ivor Hill failed to establish a...more

9/16/2015 - Anti-Retaliation Provisions Compliance Commitees Hiring & Firing Internal Investigations Protected Activity Retaliation Sarbanes-Oxley Termination Whistleblower Protection Policies Whistleblowers

Second Circuit: Dodd-Frank Protects Internal Whistleblowers

On September 10, 2015, the Second Circuit issued its highly anticipated decision in Berman v. Neo@Ogilvy, ruling (in a 2-1 decision) that Dodd-Frank’s whistleblower protection provision applies to internal complaints (i.e.,...more

9/11/2015 - Accounting Fraud Ambiguous Anti-Retaliation Provisions Chevron Deference Dodd-Frank DOL Internal Reporting Retaliation Sarbanes-Oxley SEC Whistleblower Protection Policies Whistleblowers Wrongful Termination

E.D.N.Y Denies Motion For Summary Judgment In FCA Retaliation Case Based On Finding Of Pretext

The U.S. District Court for the Eastern District of New York recently found that two former employees of Eihab Human Services (Company) raised a genuine issue of material fact as to whether they were discharged in retaliation...more

8/13/2015 - Adverse Employment Action Anti-Retaliation Provisions Disclosure False Claims Act (FCA) Healthcare Fraud Medicaid Motion for Summary Judgment Pretext Protected Activity Retaliation State False Claims Acts Whistleblower Protection Policies Whistleblowers Wrongful Termination

SEC Issues Interpretive Rule Regarding Definition of Dodd-Frank “Whistleblower”

In response to the disagreement amongst courts regarding the scope of Dodd-Frank’s employment retaliation protections, on August 4, 2015, the SEC issued an “interpretive rule” clarifying that individuals who have not reported...more

8/6/2015 - Anti-Retaliation Provisions Dodd-Frank Internal Reporting Interpretive Rule Investor Protection Sarbanes-Oxley SEC Whistleblower Awards Whistleblower Protection Policies Whistleblowers

Antitrust Whistleblower Protection Bill Introduced In Senate (Again)

On June 17, 2015, members of the Senate Judiciary Committee introduced the Criminal Antitrust Anti-Retaliation Act of 2015 (Act), a bill that proposes whistleblower protection for employees who provide information to the...more

7/13/2015 - Anti-Retaliation Provisions Contractors DOJ Employees Proposed Legislation Senate Judiciary Committee Subcontractors Third-Party Agents Whistleblower Protection Policies Whistleblowers

California District Court Holds that Internal Tipsters Are Protected Under Dodd-Frank

On May 5, 2015, in Somers v. Digital Realty Trust Inc., No. C-14-5180, the U.S. District Court for the Northern District of California held that an internal complaint of an alleged securities law violation is sufficient to...more

5/31/2015 - Anti-Retaliation Provisions Complaint Procedures Dodd-Frank Federal Rule 12(b)(6) Internal Communications Popular Securities Whistleblowers

Another SEC Whistleblower Amicus Brief On Whether Dodd-Frank Covers Internal Complaints

On February 6, the SEC filed its third amicus brief defending its interpretive rule on Dodd-Frank’s anti-retaliation provision, 15 U.S.C. §78u-6(h)(1). The impetus is a ruling out of the Southern District of New York in...more

2/27/2015 - Anti-Retaliation Provisions Dodd-Frank Employer Liability Issues Internal Reporting SEC Whistleblower Protection Policies Whistleblowers

SDNY Dismisses Extraterritorial SOX and Dodd Frank Whistleblower Claims

Failing to heed a powerful message from the Second Circuit, overseas plaintiffs are continuing to seek to pursue SOX and Dodd-Frank whistleblower claims. On September 30, 2014, the Southern District of New York in Ulrich v....more

10/17/2014 - Anti-Retaliation Provisions Dismissals Dodd-Frank Extraterritoriality Rules Moody's Sarbanes-Oxley Whistleblowers

Dodd-Frank Anti-Retaliation Provision Limited To Complaints About Securities Laws

The U.S. District Court for the Eastern District of Wisconsin ruled that an Illinois-based bank employee could not state a claim under the whistleblower protection provision in Dodd-Frank because his complaints alleged...more

6/16/2014 - Anti-Retaliation Provisions Banks Dodd-Frank Securities Whistleblower Protection Policies 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

C.D. Cal. Greenlights SOX Claim, Analyzing Whether Scienter Must Be Shown Where Violation Of Internal Controls Is Alleged

On April 24, 2013, the U.S. District Court for the Central District of California issued its final ruling that a SOX whistleblower complaint survived a Rule 12(b)(6) challenge. Zulfer v. Playboy Enterprises, Inc., No....more

5/7/2013 - Anti-Retaliation Provisions Internal Controls Sarbanes-Oxley Scienter Whistleblowers

New Whistleblower Bounty Law On The Horizon In NY?

On March 22, 2013, the New York State Senate introduced the S4362 Proposal which, through a “bounty,” gives financial awards to whistleblowers who provide original information to the Department of Financial Services (DFS)...more

5/1/2013 - Anti-Retaliation Provisions Compliance Incentives Whistleblower Awards Whistleblowers

Whats A Protected Complaint Under The FLSA’s Anti-Retaliation Provision?

On December 26, 2012, the Eleventh Circuit issued a ruling that strengthens defenses to “protected activity” in FLSA retaliation actions. Miller v. Roche Surety & Casualty Co., Inc., No. 12-cv-10259 (11th Cir. Dec. 26, 2012)...more

1/4/2013 - Anti-Retaliation Provisions Breastfeeding FLSA Retaliation

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