News & Analysis as of

Senator Grassley Announces the Creation of a Congressional Whistleblower Caucus

Last week, we provided an update on Senator Chuck Grassley’s (R-IA) efforts to strengthen the IRS Whistleblower Program and expedite the processing of IRS Whistleblower claims. Now, Senator Grassley – a longtime advocate for...more

U.S. Supreme Court Rules That Employees Of Private Contractors Of Public Companies Are Covered By SOX Whistleblower Protections

In Lawson v. FMR, LLC, the U.S. Supreme Court held that the whistleblower protections established in the Sarbanes-Oxley Act of 2002 (SOX) cover employees of a public company's private contractors and subcontractors, reversing...more

Encouraging Communication Of Employee Concerns

One of the hardest issues for compliance professionals is encouraging employees to raise concerns about ethics and compliance issues. It has become even more difficult when the government establishes whistleblower programs...more

SEC’s Amicus Brief: Internal Whistleblower Reports Covered By Dodd-Frank Anti-Retaliation Provision

As we previously discussed, courts have struggled with determining the scope of the protections in Dodd-Frank’s anti-retaliation provisions. On the one hand, Dodd-Frank defines a “whistleblower” as any individual, or group of...more

California Expands Protections for Employee Whistleblowers

Attention all employers with employees in California: On October 12, 2013, California Governor Jerry Brown signed into law Senate Bill (SB) 496, amending the whistleblower retaliation provisions set forth in section 1102.5 of...more

Supreme Court "SOX" it to Employers by Extending Statute's Whistleblower Provision to Private Contractors of Public Companies

On March 4, 2014, the U.S. Supreme Court issued a decision in Lawson v. FMR LLC expanding the class of persons protected under the anti-retaliatory provisions set forth in the Sarbanes Oxley Act of 2002 ("SOX"). The Court...more

Where the Whistle Blows: SEC Invites Circuit Split Over Reach of Dodd-Frank Anti-Retaliation Provision

The Securities and Exchange Commission recently weighed in on a whistleblower case pending in the Second Circuit, urging the court in Liu v. Siemens, A.G. to adopt the SEC’s interpretation of the Dodd-Frank Act’s...more

Have You Noticed? Pilot Program Protects Federal Grant Workers from Whistleblower Retaliation

A pilot program enacted by Congress went into effect last spring to protect whistleblowers who are working on federal grants. While it remains under the radar, this program is worth your review, as it not only imposes new...more

Bon Voyage! Dodd Frank Whistleblower Claim Shipped to Arbitration

In Murray v. UBS Securities, LLC, Judge Failla in the Southern District of New York compelled arbitration of a Dodd-Frank whistleblower retaliation claim, holding that nothing in the anti-retaliation provision, 15 U.S.C....more

California’s New Anti-Retaliation Protections For Foreign Workers Effective January 2014

In October 2013, California enacted several new laws that provide California workers, who are seeking to change their personal information, engage in whistleblower activity, or exercise their workplace rights, with expanded...more

Will California Be The Next Battlefront For An Onslaught of Whistleblower Claims?

Last week, we identified five important questions employers should ask themselves to test whether they are ready for key changes in California law that are coming in 2014. Here, we take a closer look at one of those changes:...more

Responding To A Whistleblower’s Complaint

Companies need to recognize the importance of responding effectively to a whistleblower complaint. The Enron case, and many others after that, started with a whistleblower complaint which the company either ignored or...more

Senate approves new protection for criminal antitrust whistleblowers

This month, the U.S. Senate unanimously approved proposed legislation which would protect whistleblowers who alert authorities or their employers to suspected criminal antitrust activity (referred to as the Criminal Antitrust...more

Courts confirm: Dodd-Frank whistleblowers must report to the SEC, Dodd-Frank whistleblower protections do not extend to conduct...

A recent decision by the Fifth Circuit Court of Appeals has confirmed that the anti-retaliation provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act only confer protections to whistleblowers who report...more

Dodd-Frank Whistleblower Protection: For America Only

The U.S. District Court for the Southern District of New York has held that the whistleblower protection provisions of the Dodd-Frank Act do not apply outside the United States, even where the employee alleged he was...more

Whistleblower Not Entitled To Jury Trial

In Pruett v BlueLinx Holdings, Inc., decided by the United States District Court for the Northern District of Georgia (1:13-cv-02607), the court held that a whistleblower suing under Dodd-Frank’s non-retaliation provisions...more

Will You Be Ready When The Whistle Is Blown?

Claims by employees "blowing the whistle" on their employer are on the rise in today's workplace. Will you be ready when the whistle is blown on your company? ...more

U.S. Senate Unanimously Passes Antitrust Whistleblower Protection Bill

On November 4th, the Senate voted unanimously to expand whistleblower protections in criminal antitrust cases by passing the Criminal Antitrust Anti-Retaliation Act (CAARA). This bill provides whistleblower protections to...more

Newly Enacted California Statutes

California has amended Cal. Lab. Code § 218.5 to limit the circumstances under which an employer may recover its attorney’s fees and costs as the prevailing party in a lawsuit in which an employee has sued for nonpayment of...more

District Court Holds Anti-Retaliation Provision of Dodd-Frank Act Does Not Apply in Case Virtually Lacking Any U.S. Connections

A recent decision in the United States District Court for the Southern District of New York has reinforced the United States Supreme Court’s jurisprudence on the extraterritorial application of federal statutes....more

Southern District of New York Limits Dodd-Frank Whistleblower Protections to the United States

The US District Court for the Southern District of New York limited the scope of the Dodd-Frank Wall Street Reform and Consumer Protection Act anti-retaliation provisions for whistleblowers to the United States, dismissing a...more

When is a Whistleblower Not a Whistleblower?

Even though Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act more than three years ago, the basic question of who can claim the anti-retaliation protections of that law are less clear than ever....more

Bernstein Shur Business and Commercial Litigation Newsletter #33

We are pleased to present the 33rd edition of the Bernstein Shur Business and Commercial Litigation Newsletter. This month, we highlight news that will have an impact on business and litigation, including extra-territorial...more

There She Blows!: Another Court Rules Against Extraterritorial Application of Whistleblower Protections

Last week, whistleblowers reporting potential violations occurring outside of the United States again found themselves on the outside looking in at protections afforded to domestic whistleblowers when the Southern District of...more

Court Finds Dodd-Frank Does Not Apply To Foreign Whistleblowers

The United States District Court for the Southern District of New York recently dismissed a case with prejudice by an employee whistleblower that lived in Taiwan. The court stated there is no evidence that Congress intended...more

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