Steven J. Pearlman

Steven J. Pearlman

Proskauer Rose LLP

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SOX Whistleblower Receives $250,000 Award Related to State Wage Act Complaints

The ARB recently concluded that a former program manager was entitled to recover more than $250,000 in back pay and benefits under Section 806 of SOX based on his discipline and constructive discharge. The ARB clarified that...more

4/15/2016 - Administrative Review Board ALJ Back Pay Constructive Discharge Discipline Fraud Material Misrepresentation Protected Activity Retaliation Sarbanes-Oxley Wage Deductions Whistleblower Protection Policies Whistleblowers

CFTC Issues Record-High Whistleblower Bounty Award

On April 4, 2016, the U.S. Commodity Futures Trading Commission (CFTC) issued its third and largest award, of more than $10 million, as part of its Dodd-Frank whistleblower program. As was the case with the CFTC’s two...more

4/12/2016 - CFTC Dodd-Frank Enforcement Actions Whistleblower Awards Whistleblowers

E.D. Kentucky Dismisses SOX and Dodd-Frank Whistleblower Counter-Claims

On March 17, 2016, the Eastern District of Kentucky dismissed whistleblower counter-claims against Allstate Insurance Company (“Company”), ruling that Defendant Kevin Keefe’s (“Plaintiff”) SOX claim was untimely and that his...more

3/31/2016 - Adverse Employment Action Allstate Anti-Retaliation Provisions Counterclaims Dismissals Dodd-Frank Sarbanes-Oxley Statute of Limitations Whistleblowers

ARB Rejects SOX Claim of Employee Who Threatened Co-Worker

On February 18, 2016, the ARB dismissed a former employee’s whistleblower retaliation claim under Section 806 of SOX, concluding that he failed to show that his protected activity contributed to the decision to terminate his...more

3/15/2016 - Administrative Review Board Causation Corporate Counsel Hiring & Firing Protected Activity Retaliation Sarbanes-Oxley Termination Whistleblowers

SEC Awards Nearly $2M in Whistleblower Bounties

On March 8, 2016, the SEC announced payment of nearly $2,000,000 in whistleblower bounty awards to three tipsters. (The order granting the award can be accessed here.) The largest of the three awards, approximately...more

3/14/2016 - Enforcement Actions Government Investigations SEC Whistleblower Awards Whistleblowers

Illinois Appellate Court Affirms Whistleblower’s Multi-Million Dollar Award

On March 2, 2016, an Illinois Appellate court upheld a jury verdict awarding over $3 million to Plaintiff James Crowley (Plaintiff) on his whistleblower retaliation claim under the Illinois State Official and Employee Ethics...more

3/9/2016 - Back Pay Punitive Damages Reinstatement Retaliation Whistleblower Awards Whistleblowers

Two Illinois Federal Courts Rule That Illinois Whistleblower Act May Provide For Individual Liability

Two courts in the Northern District of Illinois recently ruled that the Illinois Whistleblower Act (IWA) (740 ILCS § 174/5) provides for individual liability.  Bello v. Village of Skokie, No. 14-cv-1718 (N.D. Ill. Sept. 2,...more

2/29/2016 - Individual Accountability Personal Liability Retaliation Supervisors Uniformed Services Employment and Reemployment Rights Act (USSERA) Whistleblowers

9th Circuit Dismisses ERA Whistleblower Retaliation Claim

On February 12, 2016, the Ninth Circuit rejected a former maintenance manger’s whistleblower retaliation claims under the Energy Reorganization Act, 42 U.S.C. § 5851 (“ERA”), concluding that he failed to engage in in a...more

2/19/2016 - Corporate Counsel Energy Reorganization Act Protected Activity Retaliation Termination Whistleblowers

“Reasonable Cause” Standard Highlighted In OSHA’s Revised Whistleblower Investigations Manual

On January 28, 2016, OSHA issued a revised Whistleblower Investigations Manual (“Manual”) outlining procedures for the handling of retaliation complaints under the various whistleblower statutes that OSHA oversees. Chapter 3...more

2/11/2016 - Burden of Proof FOIA Investigations OSHA Public Disclosure Retaliation Whistleblowers

3rd Circuit Affirms Dismissal in Long-Running Weist SOX Whistleblower Case

On February 2, 2016, the Third Circuit affirmed the dismissal of the SOX whistleblower retaliation claim in the closely watched case of Weist v. Tyco Electronics Corp., No. 15-2034. We have posted on key events during the...more

2/8/2016 - Causation Corporate Counsel Internal Investigations Protected Activity Retaliation Sarbanes-Oxley Summary Judgment Termination Tyco Whistleblowers

Connecticut Court Clarifies SOX Whistleblower Pleading Standard

On December 15, 2015, the District of Connecticut refused to dismiss a SOX whistleblower retaliation claim, ruling that: (1) the heightened Rule 9(b) pleading standard for fraud claims does not apply to SOX whistleblower...more

1/4/2016 - Pleading Standards Retaliation Sarbanes-Oxley Termination Whistleblower Protection Policies Whistleblowers

OSHA Releases FY 2015 Stats Showing An Increase In Whistleblower Claims

According to figures recently released by OSHA, there has been a general increase in the number of whistleblower cases filed in fiscal year 2015 (FY 2015), in comparison to the number of cases filed in FY 2014.  Here are some...more

11/30/2015 - CFPA Dodd-Frank OSHA Popular Sarbanes-Oxley Whistleblowers

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

ARB Rejects CFPA Whistleblower Claim On Protected Activity Grounds

On November 6, 2015, the DOL’s Administrative Review Board affirmed the dismissal of Consumer Financial Protection Act (“CFPA”) whistleblower claims of a terminated mortgage broker, concluding that the complainant did not...more

11/13/2015 - Administrative Review Board CFPA DOL Mortgage Brokers Protected Activity Termination 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

SEC Pays Whistleblower Bounty Award Exceeding $325,000

On November 4, 2015, the SEC announced that it would pay a former investment firm employee a whistleblower bounty award totaling more than $325,000. Notably, the SEC’s Order indicated that the award was decreased “because...more

11/10/2015 - Delays Enforcement Actions Popular SEC Whistleblower Awards 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

Cal. App. Court Finds in Favor of Whistleblower Who Never Complained of Unlawful Conduct by the Employer

In Cardenas v. M. Fanaian, D.D.S., Inc., Case No. F069305 (Cal. App. 5 Dist.), a California Court of Appeal determined that Plaintiff Cardenas could pursue a California Labor Code Section 1102.5 retaliation claim against her...more

10/30/2015 - Damages Disclosure Employee Rights Employer Liability Issues Labor Code Law Enforcement Popular Protected Activity Public Policy Retaliation Termination Theft Whistleblower Protection Policies Whistleblowers Wrongful Termination

OSHA Implements New Whistleblower Training Program for Investigators

A recent audit conducted by Inspector General (OIG) concluded that the training provided to OSHA whistleblower complaint investigators could be improved in material respects.  It found that the absence of an official training...more

10/20/2015 - Audits Investigations OIG OSHA Training 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

CFTC Issues Second Whistleblower Award To The Tune Of $290,000

On September 29, 2015, the U.S. Commodity Futures Trading Commission (CFTC) announced that it will make its second award as part of its whistleblower program, which was created by Dodd-Frank. The tipster will receive a...more

10/9/2015 - CFTC Dodd-Frank Enforcement Actions Whistleblower Awards Whistleblowers

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

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