Proskauer - Whistleblowing & Retaliation

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3d Cir.: Dodd-Frank Anti-Arbitration Provisions Do Not Apply To Dodd-Frank Whistleblower Retaliation Claims

On December 8, 2014, the Third Circuit ruled that Dodd-Frank’s anti-arbitration provisions do not invalidate pre-dispute arbitration agreements with respect to whistleblower retaliation claims brought pursuant to the…more
| Alternative Dispute Resolution (ADR), Civil Rights, Labor & Employment Law, Finance & Banking

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
| Civil Procedure, Civil Rights, Labor & Employment Law, Government Contracting

Eleventh Circuit Limits Scope of FCA Whistleblower Suit

Late last month, a three-judge panel of the Eleventh Circuit Court of Appeals reinstated portions of a former executive’s False Claims Act (“FCA”) whistleblower action against Health Management Associates Inc. (“HMA”), alleging…more
| Civil Rights, Labor & Employment Law, Health, Government Contracting

Highlights of SEC’s 2014 Annual Report

On November 17, 2014, the Securities and Exchange Commission’s Office of the Whistleblower (“OWB”) released its fourth Annual Report on the Dodd-Frank Whistleblower Program to Congress, which details information on OWB’s…more
| Civil Rights, Labor & Employment Law, Securities Law

5th Circuit: Outing Whistleblower Equals Adverse Action

On November 12, 2014, in Halliburton, Inc. v. Admin. Review Bd., 5th Cir. No. 13-cv-60323, the Fifth Circuit affirmed an ARB’s decision that disclosing the identity of a whistleblower may constitute an “adverse action” under…more
| Administrative Law, Civil Rights, Labor & Employment Law, Finance & Banking, Securities Law

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
| Civil Procedure, Labor & Employment Law, Securities Law

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
| Commercial Law & Contracts, Criminal Law, Labor & Employment Law, Securities Law

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 alleged…more
| Civil Procedure, Labor & Employment Law, Finance & Banking, Securities Law

Third Circuit Sizes Up Dodd-Frank’s Anti-Arbitration Provision

On October 24, 2014, in Khazin v. TD Ameritrade Holding Corp, et al., the U.S. Court of Appeals for the Third Circuit heard oral argument on an issue of first impression (within that forum): whether Dodd-Frank applies…more
| Alternative Dispute Resolution (ADR), Civil Rights, Labor & Employment Law, Finance & Banking, Securities Law

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. Fannie…more
| Administrative Law, Civil Procedure, Civil Rights, Labor & Employment Law

FINRA Again Cautions Against Confidentiality Provisions Silencing Whistleblowers

As reported this week by Law360 (subscription required), the Financial Industry Regulatory Authority (FINRA) recently issued a reminder (Regulatory Notice 14-40) warning firms against the use of confidentiality provisions in…more
| Civil Rights, Commercial Law & Contracts, Labor & Employment Law, Finance & Banking, Securities Law

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
| Civil Procedure, Civil Rights, Labor & Employment Law, Finance & Banking, International Law & Trade

Further Expanding An Already Expansive NJ Whistleblowing Law

Often touted as the most expansive state whistleblowing law in the U.S., New Jersey’s seemingly boundless Conscientious Employee Protection Act (“CEPA”) may get even broader…more
| Civil Rights, Labor & Employment Law

ARB Affirms Blacklisting Award To Whistleblower

The ARB upheld a damages award in favor of a whistleblower after his former employer purportedly “blacklisted” him by providing an apparently negative employment reference to a prospective employer. Timmons v. CRST Dedicated…more
| Civil Remedies, Civil Rights, Labor & Employment Law

Court Affirms $3M Jury Award In Illinois Whistleblower Action

On August 28, 2014, Judge James McCarthy issued a decision in Crawley v. Chicago State University, Case No. 10 L 12657 (Cook County, Ill., Law Div.), affirming payment of over $3 million to Plaintiff James Crowley (“Plaintiff”),…more
| Civil Remedies, Education, Securities Law
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