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Dodd-Frank Wall Street Reform and Consumer Protection Act › Whistleblower Protection Policies › Retaliation

The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and... more +
The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and includes broad reforms related to many aspects of the financial and banking industry. Notable sections of the Act include stricter regulations of the derivatives market, as well as the Volcker Rule, which restricts the trading practices of FDIC-insured institutions.    less -
Conn Maciel Carey LLP

The easier-to-satisfy “contributing factor” framework is enough to prove whistleblower protection under the Sarbanes-Oxley Act.

Conn Maciel Carey LLP on

The Sarbanes-Oxley Act (“Act” or ”SOX”) shields whistleblowers from retaliation for reporting any wrongdoing by publicly traded companies. Recently, in Murray v. UBS Securities, LLC, the U.S. Supreme Court evaluated the...more

Proskauer Rose LLP

Top 10 Whistleblowing and Retaliation Events of 2023

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2023 was another groundbreaking year for whistleblower litigation and bounty awards. The U.S. Securities and Exchange Commission shattered records by issuing a $279 million award and continued to actively enforce the...more

Thomas Fox - Compliance Evangelist

Pre-Taliation Continues to Rear It’s Ugly Head

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DE Shaw, a prominent financial services firm, recently settled a retaliation case with the Securities and Exchange Commission (SEC) for a staggering $10 million. It was settled via an Administrative Order. This settlement...more

Holland & Knight LLP

SEC to Issuers: Retaliating Against or Impeding Whistleblowers Is Not Zen

Holland & Knight LLP on

Public companies should be mindful not to interfere with or retaliate against whistleblowers, and stretching is best reserved for the yoga mat, not the numbers in a company's public disclosures. So says the U.S. Securities...more

Kohn, Kohn & Colapinto LLP

DC Circuit Decision Upholds Whistleblower Confidentiality to Protect IRS Whistleblowers from Retaliatory FOIAs

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On July 19, the United States Court of Appeals for the District of Columbia Circuit issued a ruling in Montgomery v. Internal Revenue Serv., a case concerning the Internal Revenue Service’s (IRS) handling of Freedom of...more

Proskauer - Whistleblower Defense

CA District Court: SOX and Dodd-Frank’s Whistleblower Provisions Do Not Apply To Individual Employed Abroad

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On June 7, 2022, the United States District Court for the Northern District of California, relying on recent ARB decisions, held that a plaintiff who lived and worked for a Canadian subsidiary of a US company could not avail...more

Proskauer Rose LLP

Top 10 Whistleblowing and Retaliation Events Of 2021

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2021 was another blockbuster year in the whistleblowing and retaliation arena. The U.S. Securities and Exchange Commission Office of the Whistleblower has now issued in excess of $1 billion in whistleblower bounties. ...more

Proskauer - Whistleblower Defense

CA District Court: Dodd Frank Whistleblower Provision Does Not Apply Extraterritorially

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On June 28, 2021, the United States District Court for the Northern District of California granted the Company’s Rule 12(b)(6) motion to dismiss after an executive claimed he was discharged in violation of the Dodd-Frank...more

Foley & Lardner LLP

Review of Recent Whistleblower Developments - October 2021

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Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business... SEC to Study Amended...more

Law Matters

Loopholes Doom Money Laundering Anti-Retaliation Law

Law Matters on

A perspective from leading whistleblower attorney Stephen M. Kohn...more

Kilpatrick

The SEC Amends Whistleblower Rules in Attempt to Bring Added Efficiency and Transparency to Program

Kilpatrick on

On September 23, 2020, the Securities and Exchange Commission (SEC) adopted amendments to the rules of its whistleblower program in a 3-2 vote split along political party lines. The agency says that the amendments will bring...more

Proskauer - Whistleblower Defense

Third Circuit Confirms Limits on Scope of Protected Activity Under SOX

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On July 16, 2020, the Third Circuit affirmed the dismissal of a former IT analyst’s whistleblower retaliation claim, holding that he lacked an objectively reasonable belief that his complaints implicated one of the enumerated...more

Proskauer - Whistleblower Defense

ARB Denies Equitable Tolling of 180-Day Statute of Limitations Under SOX

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On June 29, 2020, the Administrative Review Board (“ARB”) upheld the dismissal of a whistleblower retaliation complaint under Section 806 of the Sarbanes-Oxley Act (“SOX”) for failure to file within the 180-day statutory...more

Proskauer - Whistleblower Defense

ARB Rules That Complaints about Theoretical Violations are not Protected Whistleblowing Activity under Dodd-Frank

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On June 18, 2020, the U.S. Department of Labor Administrative Review Board (“ARB”) held that a complaint about a theoretical violation of the Dodd-Frank Wall Street Reform and Consumer Financial Protection Act of 2010...more

Polsinelli

Summary Judgment Decision in Long-Running Erhart SOX Case Limits the Scope of Protected Activity Under SEC Books and Records and...

Polsinelli on

On March 31, 2020, the U.S. District Court for the Southern District Court of California entered partial summary judgment in Erhart v. BofI Holding, Inc., a prominent, long-running whistleblower lawsuit under the...more

Jackson Lewis P.C.

Whistleblower Rights In Today’s Evolving Federal Statutory Landscape

Jackson Lewis P.C. on

All viable whistleblower cases arise from allegations of wrongdoing serious enough to run afoul of some statute or rule. Common issues in every whistleblowing case include: Who is subject to protection against retaliation...more

Proskauer - Whistleblower Defense

Second Circuit Holds Dodd-Frank Whistleblower Retaliation Claims are Arbitrable

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On September 19, 2019, the Second Circuit affirmed a New York District Court’s order compelling arbitration of a whistleblower retaliation claim under the Dodd-Frank Act.  Daly v. Citigroup Inc., et al., No. 18-665....more

Jones Day

The Age of the Corporate Informant: Australia Expands Private-Sector Whistleblower Protections

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Sweeping changes to corporate whistleblowing laws in Australia came into effect on 1 July 2019. The reforms provide for a range of additional protections to eligible whistleblowers, including a right of...more

Foley & Lardner LLP

A Review of Recent Whistleblower Developments

Foley & Lardner LLP on

Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business...more

Proskauer - Employee Benefits & Executive...

[Podcast]: Key Contractual Provisions for Employers to Incorporate in Documents with Confidentiality Covenants

Proskauer - Employee Benefits & Executive... on

In this episode of The Proskauer Brief, Kate Napalkova, special employee benefits and executive compensation counsel, and associate Oleg Zakatov discuss potential pitfalls that lurk in employment agreements and other employee...more

Foley & Lardner LLP

A Review of Recent Whistleblower Developments - April 2019

Foley & Lardner LLP on

Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include: Fifth...more

Proskauer - Whistleblower Defense

Ninth Circuit Affirms Most of Jury Verdict in Former GC’s SOX Whistleblower Lawsuit

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On February 26, 2019, the Ninth Circuit affirmed much of a jury’s approximately $11M verdict finding that a former general counsel was discharged in retaliation for reporting alleged Foreign Corrupt Practices Act (“FCPA”)...more

Foley & Lardner LLP

A Review of Recent Whistleblower Developments - July 2018

Foley & Lardner LLP on

Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include: New...more

Proskauer - Whistleblower Defense

California Federal Court Grants Motion to Compel Arbitration of Dodd-Frank Whistleblower Claim

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On June 27, 2018, the U.S. District Court for the Central District of California granted Snap Inc.’s motion to compel arbitration of a Dodd-Frank whistleblower retaliation claim. Pompliano v. Snap Inc., No. 17-cv-3664 (2018...more

Jackson Lewis P.C.

Retaliation Plaintiff Not A Covered Whistleblower Under Plain Reading Of Dodd-Frank Act, Court Rules

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A former employee who failed to show he reported alleged securities law violations to the Securities and Exchange Commission (SEC), as required under the Dodd-Frank Wall Street Reform and Consumer Protection Act (DFA), cannot...more

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