Steven J. Pearlman

Steven J. Pearlman

Proskauer Rose LLP

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OSHA Updates Whistleblower Manual, Focusing On Damages And Settlement Agreements

On May 21, 2015, OSHA—which has responsibility for investigating and enforcement under 22 whistleblower retaliation statutes—released an updated edition of its Whistleblower Investigations Manual (the Manual), the first such...more

6/2/2015 - Damages Employer Liability Issues Government Investigations OSHA Whistleblower Protection Policies

Senate Approves Auto Industry Whistleblower Bill

Under the “Motor Vehicle Safety Whistleblower Act” (the Bill), which the U.S. Senate approved on April 28, 2015, whistleblower protections and bounties would be available to individuals who report motor vehicle defects. In...more

5/5/2015 - Auto Manufacturers Automotive Industry Manufacturing Defects Proposed Legislation Whistleblower Awards Whistleblower Protection Policies

OSHA’s Recent Guidance on Whistleblower Retaliation Investigations

The Directorate of Whistleblower Protection Programs recently issued a guidance memorandum titled “Clarification of the Investigative Standard for OSHA Whistleblower Investigations,” for the apparent purpose of clarifying the...more

5/4/2015 - Government Investigations OSHA Popular Whistleblower Protection Policies

ARB Issues Impactful Decision On Whistleblower Retaliation Causation Standard

The ARB recently addressed the standard for proving that protected activity was a “contributing factor” in adverse employment actions. It concluded that evidence showing that an employer would have made the same adverse...more

4/30/2015 - Administrative Review Board Adverse Employment Action OSHA Protected Activity Retaliation Whistleblower Protection Policies

Washington Jury Awards “Perceived” Whistleblower $1 Million

In a jury verdict issued on March 26, 2015, a supervisor for the nation’s largest ferry system was awarded $1 million because the jury concluded that his employer demoted him as an act of retaliation in violation of the...more

4/15/2015 - Adverse Employment Action Employer Liability Issues Jury Verdicts Retaliation Whistleblower Protection Policies Whistleblowers

SEC Announces Enforcement Action Regarding Employee Confidentiality Agreement

On April 1, the Securities and Exchange Commission (SEC) announced its first settlement of an enforcement action under the SEC’s Rule 21F-17, which prohibits any person from taking “any action to impede an individual from...more

4/7/2015 - Confidentiality Agreements Enforcement Actions Internal Investigations KBR (formerly Kellogg Brown & Root) Rule 21F SEC Whistleblower Protection Policies 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 Follows Asadi: Internal Tipsters Not Dodd-Frank “Whistleblowers”

On December 5, 2014, the Southern District of New York in Berman v. Neo@Ogilvy, No. 14-cv-523, ruled that an employee who complains internally about securities law violations does not qualify as a “whistleblower” under the...more

12/29/2014 - Dodd-Frank Employer Liability Issues Internal Reporting SEC Whistleblower Protection Policies Whistleblowers

SEC’s Second Amicus Brief On Whether Dodd-Frank Protects Internal Reports

On December 11, 2014, the SEC filed an amicus brief in support of Plaintiff-Appellant Mikael Safarian asking the Third Circuit to revive his Dodd-Frank whistleblower claim and endorse the agency’s definition of...more

12/23/2014 - Dodd-Frank Employer Liability Issues Reporting Requirements Retaliation SEC Whistleblower Protection Policies Whistleblowers

Cal. App. Court Finds in Favor of “Whistleblower” Who Never Blew the Whistle

In Diego v. Pilgrim United Church of Christ, — Cal.Rptr.3d —-, 2014 WL 6602601 (Cal. App. 4 Dist.), the California Court of Appeal determined that Cecilia Diego (Plaintiff) could pursue a common law public policy retaliation...more

12/11/2014 - Adverse Employment Action Churches Corporate Counsel Employer Liability Issues Public Policy Retaliation Whistleblower Protection Policies Whistleblowers Wrongful Termination

Court Follows 5th Circuit Asadi Decision, Dismisses Dodd-Frank Whistleblower Claim

The U.S. District Court for the Eastern District of Wisconsin in Verfuerth v. Orion Energy Systems, Inc., No. 14-cv-352 (E.D. Wis. Nov. 4, 2014) recently ruled that the Dodd-Frank whistleblower protection provision does not...more

11/12/2014 - Dodd-Frank Federal Rule 12(b)(6) Federal Rules of Civil Procedure SEC Whistleblower Protection Policies Whistleblowers

Study: Does The Existence Of Whistleblowers In Enforcement Actions Mean Greater Penalties?

According to an academic study published on October 6, 2014 by Andrew C. Hall, Gerald S. Martin, Nathan Y. Sharp, and Jaron H. Wilde, the presence of whistleblowers may have a meaningful impact on the outcomes of enforcement...more

11/6/2014 - Civil Monetary Penalty DOJ Enforcement Enforcement Actions SEC Whistleblower Protection Policies Whistleblowers

California Court Allows Dodd-Frank Whistleblower Claims to Proceed Despite Absence of Complaint to SEC

In a case of first impression within the Ninth Circuit, the U.S. District Court for the Northern District of California ruled that the whistleblower protection provision in Dodd-Frank protects whistleblowers who report...more

11/5/2014 - Corporate Counsel Dodd-Frank SEC Whistleblower Protection Policies Whistleblowers

Administrative Review Board Clarifies Causation Burdens in SOX Whistleblower Cases

The ARB recently clarified the competing burdens of proof on issues of causation for whistleblower retaliation cases arising under SOX Section 806 and other whistleblower protection statutes. In particular, in Fordham v....more

10/31/2014 - Burden of Proof Causation Sarbanes-Oxley Whistleblower Protection Policies Whistleblowers

SOX Claim Dismissed: Rejection of IP Assignment Clause Not Protected Activity

The U.S. District Court for the Northern District of Illinois recently granted a Rule 12(b)(6) motion to dismiss a SOX whistleblower retaliation claim, concluding that the plaintiff did not engage in protected activity. Fuqua...more

8/8/2014 - Fraud Protected Activity Sarbanes-Oxley Shareholders Whistleblower Protection Policies 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

Seventh Circuit: ARRA Whistleblower Claim Failed Because Complaints Did Not Relate to “ARRA-Covered Funds”

A Seventh Circuit panel recently affirmed dismissal of a whistleblower claim under the American Reinvestment and Recovery Act of 2009 (“ARRA”) where the complaint did not state a claim (for Rule 12(b)(6) purposes) for misuse...more

5/29/2014 - American Recovery and Reinvestment Act Whistleblower Protection Policies Whistleblowers

S.D.N.Y. Takes Broad Approach To SOX and Dodd-Frank Whistleblower Claims

The U.S. District Court for the Southern District of New York recently denied a motion to dismiss a plaintiff’s SOX and Dodd-Frank whistleblower claims, ruling that (i) the plaintiff engaged in SOX protected activity even...more

5/28/2014 - Dodd-Frank Sarbanes-Oxley Whistleblower Protection Policies Whistleblowers

4th Circuit: SOX Whistleblower Failed To Establish A Prima Facie Case Regarding Causation

On May 12, 2014, the Fourth Circuit Court of Appeals affirmed summary judgment on a SOX whistleblower claim, concluding that the whistleblowers’ alleged protected activity was not a “contributing factor” in the challenged...more

5/16/2014 - Adverse Employment Action Causation Sarbanes-Oxley Whistleblower Protection Policies Whistleblowers

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

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

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

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 Announces Additional Whistleblower Award Based on Assets Seized by Justice Department

After awarding the second-ever whistleblower bounty award pursuant to Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) in connection with SEC v. Andrey C. Hicks and Locust Offshore...more

9/11/2013 - Dodd-Frank DOJ Enforcement Actions Search & Seizure SEC Whistleblower Awards Whistleblower Protection Policies Whistleblowers

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