Anti-Retaliation Provisions

News & Analysis as of

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

To Whom Must The Whistle Blow? SEC Asks Second Circuit for Deference on Scope of Dodd-Frank Whistleblower Protection

In an amicus brief filed earlier this month in Berman v. Neo@Ogilvy LCC, the SEC asked the Second Circuit to defer to the Commission and hold that individuals who report misconduct internally are covered by the...more

SEC Argues in Second Circuit Amicus Brief That Dodd-Frank Protects Inside Whistleblowers

On February 6, the Securities Exchange Commission filed an amicus brief advising the United States Court of Appeals for the Second Circuit that the whistleblower protections of the Dodd-Frank Wall Street Reform and Consumer...more

2014—A Record-Setting Year for Whistleblowers

2014 was a record-breaking year for whistleblowers, including both the U.S. Department of Justice’s prosecution of cases under the False Claims Act (FCA) and the U.S. Securities and Exchange Commission’s prosecution of cases...more

This Week In Securities Litigation

The Commission recently filed an amicus brief defending its Dodd-Frank whistleblower rules. Those rules specify that the anti-retaliation provisions of those amendments to the Exchange Act protect those who chose not to...more

SEC: Whistleblower Protections Extend To Those Who Report Internally

A critical component of the SEC’s whistleblower program is the anti-retaliatory provisions of Exchange Act Section 21F, added to the statute by the Dodd-Frank Act. To implement that provision the Commission promulgated two...more

The D.C. Wage Theft Prevention Act of 2014 Amended

The emergency amendments relate to timekeeping requirements for exempt employees and statutory language regarding pay notice requirements....more

Third Circuit Finds that the Federal Railroad Safety Act's Anti-Retaliation Provision Does Not Cover Employees Treated for...

In a case of first impression with far-reaching implications for the railroad industry, the Third Circuit has held that the provision of the Federal Railroad Safety Act (FRSA) prohibiting discipline of employees for...more

As the Late, Great Joan Rivers Would Say, "Can We Talk" (About Our Salaries)? The Answer May Soon Be "Yes"

Employees of federal contractors, who previously have dwelled silently – and often unknowingly – in the gender and race pay chasm, may soon have a new tool to help them build a bridge across the gap....more

Anti-Discrimination and Anti-Retaliation Policies Save Employer from $3.5 Million Punitive Damages Award

On January 7, 2015, the U.S. District Court for the District of Puerto Rico issued an opinion overturning a jury’s $3.5 million punitive damages award for retaliation claims brought under Title VII and Puerto Rico law,...more

5 steps to encourage internal whistleblowing

Did you know that only 8 percent of employees report wrongdoing externally without first reporting it internally? Yet, when a frustrated whistleblower does turn to government regulators, the outcome can be harsh....more

SEC Urges Third Circuit to Adopts Its Interpretation of Whistleblower Retaliation Protections

Last week, the Securities and Exchange Commission submitted an amicus brief in support of an appellant before the US Court of Appeals for the Third Circuit, urging the court to adopt its interpretation of whistleblower...more

Overview of Compliance Concerns Raised by Recent U.S. SEC Whistleblower Developments

The recent release of the Securities and Exchange Commission’s (SEC) annual report to Congress on the Dodd-Frank Whistleblower Program highlights the growing reliance of U.S. Government authorities on whistleblowers to...more

Investment Management Update

In This Issue: - SEC Announces First-of-Its-Kind Whistleblower Award To an Audit and Compliance Professional - SEC Issues No-Action Letter To Allow for Amendment of a Sub-Advisory Agreement without Shareholder...more

The False Claims Act and the Health Care Industry: 2014 Year in Review

On Nov. 20, 2014, the U.S. Department of Justice (“DOJ”) announced settlements and judgments for False Claims Act (“FCA”) cases totaling $5.7 billion (compared to $3.8 billion in fiscal year 2013), $2.3 billion of which was...more

UPDATE: Third Circuit Affirms Arbitrability of Dodd-Frank Retaliation Claim in Khazin v. TD Ameritrade Holding Corp., ___ F.3d...

In March, we wrote about a ruling out of the District of New Jersey enforcing an arbitration provision contained in an employment agreement that pre-dated Dodd-Frank. The court reasoned that to disregard a pre-Dodd-Frank...more

Sixth Circuit Decision Confirms that Employers May Lawfully Choose Not to Hire a Job Applicant with a Prior History as a False...

Some employers in the health care and other industries who regularly deal with the federal government and are subject to the False Claims Act (“FCA”) have felt helpless in trying to weed out serial whistleblowers in the...more

How Should Employers Draft Severance Agreements Post-CVS?

Last month, a federal judge in Illinois dismissed a lawsuit brought by the Equal Employment Opportunity Commission contending that a standard release agreement used by the CVS drugstore chain violated the anti-retaliation...more

Dodd-Frank News: October 2014: Dodd-Frank Wall Street Reform and Consumer Protection Act Update

In This Issue: - RECENT CASES .. Mortgage Servicing Rules .. Antiretaliation Provision ..Credit Default Swaps Antitrust Litigation ..CFPB Involvement in Litigation - IN THE...more

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

Trends in New Jersey Employment Law - October 2014

Four More New Jersey Cities Enact Sick Leave Laws - Four New Jersey municipalities—Passaic, Paterson, Irvington, and East Orange—recently enacted ordinances requiring employers to provide paid sick leave to their...more

New District of Columbia Law Greatly Expands Remedies for Wage Law Violations and Places New Notice Requirements on Employers

On September 19, 2014, Mayor Vincent C. Gray signed the “Wage Theft Prevention Amendment Act of 2014” (“Act”) (D.C. Act 20-426). The Act generally broadens the coverage of, and expands the notice requirements, means of...more

Background Screening Company Adopts Revised Procedures in Cooperation with EEOC

DALLAS -- The U.S. Equal Employment Opportunity Commission (EEOC) and The Cole Group have reached an agreement reflecting the job applicant screening company's implementation of revised policies and practices to ensure that...more

Two Points about the SEC’s $30+ Million Whistleblower Award

You probably saw that on Monday the SEC announced its largest-ever award under the Dodd-Frank whistleblower provisions: over $30 million to an unnamed tipster from overseas. As with all of the awards issued so far, the...more

Yes, Foreigners Can be Whistleblowers

The SEC announced that its largest ever whistleblower award estimated to be worth more than $30 million will be paid to a resident of a foreign country. While the eligibility of foreign residents for a whistleblower award...more

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