On April 19, 2023, the U.S. District Court for the District of New Jersey granted the defendant-employer’s motion to dismiss a complaint seeking court enforcement of a preliminary reinstatement order after determining that...more
On February 28, 2023, the U.S. District Court for the Central District of Illinois granted a defendant-employer’s motion to dismiss a SOX whistleblower retaliation claim, holding that the plaintiff failed to adequately plead...more
On January 29, 2021, the U.S. Court of Appeals for the Fifth Circuit affirmed the dismissal of a SOX whistleblower retaliation claim where the plaintiff failed to establish an employer-employee relationship with the...more
On September 30, 2020, the U.S. District Court for the Northern District of Georgia granted an employer’s motion to dismiss a Dodd-Frank whistleblower claim on the ground that the alleged whistleblower did not complain to the...more
10/27/2020
/ Administrative Complaints ,
Administrative Remedies ,
Anti-Retaliation Provisions ,
Consumer Financial Protection Act (CFPA) ,
Digital Realty Trust Inc v Somers ,
Dodd-Frank ,
Motion to Dismiss ,
OSHA ,
Retaliation ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Whistleblowers
On December 9, 2019, the U.S. District Court for the Southern District of New York ruled that, as a matter of law, directors cannot be held liable under the anti-retaliation provisions of the Sarbanes-Oxley Act. Zornoza v....more
1/16/2020
/ Anti-Retaliation Provisions ,
Board of Directors ,
CEOs ,
CFOs ,
Corporate Counsel ,
Federal Rule 12(b)(6) ,
Motion to Dismiss ,
Retaliation ,
Sarbanes-Oxley ,
Securities Violations ,
Whistleblower Protection Policies ,
Whistleblowers
On September 18, 2019, the U.S. District Court for the Southern District of New York granted a defendant-employer’s motion to dismiss a SOX whistleblower retaliation claim, finding that the plaintiff failed to adequately...more
On July 19, 2019, the U.S. District Court for the District of Rhode Island granted an employer’s motion to dismiss a SOX whistleblower claim, holding that the Plaintiff—an in-house attorney—failed to allege sufficient facts...more
10/7/2019
/ Corporate Counsel ,
Federal Rule 12(b)(6) ,
FRCP 9(b) ,
Hiring & Firing ,
Misrepresentation ,
Motion to Dismiss ,
Pleading Standards ,
Protected Concerted Activity ,
Retaliation ,
Sarbanes-Oxley ,
Securities Violations ,
Termination ,
Whistleblowers
On January 15, 2019, the First Circuit ruled that a plaintiff adequately alleges protected activity under the FCA whistleblower protection provision where he asserts that he reported concerns about his employer’s conduct that...more
On October 22, 2018, the U.S. District Court for the Northern District of Illinois granted a Rule 12(b)(6) motion to dismiss a first-impression whistleblower retaliation claim under the Commodity Exchange Act (“CEA”). Johnson...more
11/9/2018
/ Anti-Retaliation Provisions ,
CFTC ,
Coercion ,
Commodity Exchange Act (CEA) ,
Employer Liability Issues ,
Federal Rule 12(b)(6) ,
Motion to Dismiss ,
Retaliation ,
Retroactivity ,
Securities and Exchange Commission (SEC) ,
Spoofing ,
Whistleblower Protection Policies ,
Whistleblowers
On October 2, 2018, the U.S. District Court for the Western District of Pennsylvania federal court denied a Rule 12(b)(6) motion to dismiss a SOX whistleblower retaliation claim, reasoning that Plaintiff sufficiently alleged...more
10/15/2018
/ Corporate Counsel ,
Digital Realty Trust Inc v Somers ,
Dodd-Frank ,
Employer Liability Issues ,
Federal Rule 12(b)(6) ,
Motion to Dismiss ,
Protected Activity ,
Retaliation ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Termination ,
Whistleblowers
On October 2, 2018, the U.S. District Court for the Western District of Pennsylvania federal court denied a Rule 12(b)(6) motion to dismiss a SOX whistleblower retaliation claim, reasoning that Plaintiff sufficiently alleged...more
10/12/2018
/ Dismissals ,
Dodd-Frank ,
Federal Rule 12(b)(6) ,
Form 10-K ,
Hiring & Firing ,
Motion to Dismiss ,
Pleadings ,
Retaliation ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Whistleblowers
On May 29, 2018, the U.S. District Court for the Northern District of Alabama granted a motion to dismiss in part Plaintiff’s whistleblower retaliation claims under SOX on the grounds that the Plaintiff failed to exhaust his...more
On February 5, 2018, U.S. District Court for the Southern District of New York granted Defendant Khan Funds Management America, Inc.’s Rule 12(b)(6) motion to dismiss a whistleblower retaliation claim under Dodd-Frank on the...more
On January 30, 2018, the U.S. District Court for the District of New Jersey granted Defendant Public Service Electric & Gas Co.’s motion to dismiss a New Jersey common law wrongful termination claim in a whistleblower...more
The Southern District of Florida recently denied a Rule 12(b)(6) motion to dismiss a former employee’s Sarbanes-Oxley and Dodd-Frank whistleblower retaliation claims, finding that the plaintiff sufficiently alleged that she...more
10/24/2017
/ Data Security ,
Dodd-Frank ,
Federal Rule 12(b)(6) ,
GAAP ,
Internal Reporting ,
Motion to Dismiss ,
OSHA ,
Retaliation ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Whistleblowers
The Northern District of New York recently denied a Rule 12(b)(6) motion to dismiss a former employee’s Dodd-Frank whistleblower retaliation claim, finding that the plaintiff sufficiently alleged that he had an objectively...more
The Northern District of Illinois recently dismissed an Indiana-based employee’s claims for retaliatory discharge in violation of common law, focusing on the nature of the connection (or lack thereof) to Illinois and noting...more
8/16/2017
/ Common Law Claims ,
Dismissals ,
Dodd-Frank ,
Federal Rule 12(b)(6) ,
Hiring & Firing ,
Internal Reporting ,
Involuntary Reduction in Force ,
Motion to Dismiss ,
Retaliation ,
Sarbanes-Oxley ,
Whistleblowers
The U.S. District Court for the Eastern District of Virginia recently granted a Rule 12(b)(6) motion to dismiss a Dodd-Frank whistleblower retaliation claim brought by an ex-project manager, finding that Plaintiff failed to...more
8/16/2017
/ Anti-Retaliation Provisions ,
Dodd-Frank ,
Federal Rule 12(b)(6) ,
Internal Reporting ,
Motion to Dismiss ,
Retaliation ,
Securities and Exchange Commission (SEC) ,
Split of Authority ,
Whistleblower Protection Policies ,
Whistleblowers ,
Wrongful Termination
On July 25, 2017, the Third Circuit allowed a plaintiff who was an in-house attorney to proceed with a whistleblower retaliation lawsuit under the New Jersey Conscientious Employee Protection Act (CEPA) based on its...more
7/31/2017
/ Appeals ,
CEPA ,
Corporate Counsel ,
Ethics ,
Hiring & Firing ,
Motion to Dismiss ,
Patents ,
Retaliation ,
Reversal ,
Rules of Professional Conduct ,
Whistleblowers
The U.S. District Court for the Northern District of Illinois recently granted a Rule 12(b)(1) and (6) motion to dismiss a former employee’s complaint alleging retaliation under the Illinois Whistleblower Act (“IWA”). Huang...more
The United States District Court for the Western District of Tennessee recently emphasized the limited scope of what constitutes protected activity under the Dodd-Frank Act’s (the Act) whistleblower protection provision,...more
As noted in our previous post, in May 2016, President Obama signed the Defend Trade Secrets Act (DTSA), which establishes a federal cause of action for misappropriation of trade secrets into law. As part of its protections,...more
On August 24, 2016, the Southern District of New York denied Defendants’ motion to dismiss a Dodd-Frank whistleblower retaliation claim brought by its former co-CEO and Executive Chairman of its Board of Directors, finding...more
9/26/2016
/ Corporate Counsel ,
Disclosure Requirements ,
Dodd-Frank ,
Federal Rule 12(b)(6) ,
Form 10-K ,
Hiring & Firing ,
Misrepresentation ,
Motion to Dismiss ,
Retaliation ,
Sarbanes-Oxley ,
Securities ,
Securities Fraud ,
Securities Violations ,
Termination ,
Whistleblowers
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
In Wallace v. Tesoro Corp., the Fifth Circuit revived a SOX whistleblower complaint that was dismissed by the U.S. District Court for the Western District of Texas, finding that the plaintiff’s alleged belief that the company...more
8/12/2015
/ Corporate Counsel ,
Federal Rule 12(b)(6) ,
GAAP ,
Motion to Dismiss ,
OSHA ,
Reasonableness Factors ,
Retaliation ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Whistleblower Protection Policies ,
Whistleblowers ,
Wire Fraud