On November 15, 2019, the SEC published its annual report to Congress covering the agency’s whistleblower program.
The report, which covers the period of October 1, 2018 through September 30, 2019, was prepared by the...more
On November 4, 2019, the SEC announced that it had filed an amended complaint against online auction portal Collectors Café and CEO Mykalai Kontilai, alleging Kontilai tried to prevent investors from communicating with the...more
11/13/2019
/ Amended Complaints ,
Dodd-Frank ,
False Statements ,
Misappropriation ,
Misleading Statements ,
Rule 21F-17 ,
Securities and Exchange Commission (SEC) ,
Settlement Agreements ,
Settlement 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 September 27, 2019, the U.S. District Court for the Northern District of Illinois granted a defendant-employer summary judgment on a whistleblower retaliation claim under the Illinois Whistleblower Act (“IWA”) and on a...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 August 9, 2019, Governor Pritzker signed into law Public Act 101-0221 (the “Act”), which enhances protections against workplace sexual harassment and discrimination. The Act creates new laws and amends several existing...more
8/26/2019
/ Anti-Harassment Policies ,
Arbitration Agreements ,
Civil Rights Act ,
Employer Liability Issues ,
Employment Contract ,
Employment Discrimination ,
Governor Pritzker ,
New Legislation ,
Sexual Harassment ,
State Labor Laws ,
Title VII ,
Transparency
On August 9, 2019, Illinois Governor Pritzker signed the Workplace Transparency Act (the “Act”) into law. The Act will apply to all contracts, agreements, clauses, or waivers entered into, modified, or extended on or after...more
The ARB recently affirmed the dismissal of a whistleblower retaliation claim under Section 806 of SOX, holding an employer is not a “contractor” covered by SOX simply because it was a party to a contract with a publicly...more
On July 31, 2019, Illinois Governor J.B. Pritzker signed into law House Bill 834 (the “Bill”), which amends the Illinois Equal Pay Act of 2003 (“IEPA”) to prohibit employers from inquiring into a job applicant’s salary...more
On July 24, 2019, the Chicago City Council passed and Mayor Lightfoot approved a predictive scheduling ordinance known as the Fair Workweek Ordinance (the “Ordinance”). It becomes effective on July 1, 2020. The following...more
On June 13, 2019, the Fourth Circuit overturned the ARB’s decision in favor of a complainant, ruling that the plaintiff had not engaged in protected activity under the SOX whistleblower protection provision by complaining of...more
7/22/2019
/ Administrative Law Judge (ALJ) ,
Conflicts of Interest ,
Mandatory Arbitration Clauses ,
OSHA ,
Protected Activity ,
Protected Concerted Activity ,
Remand ,
Sarbanes-Oxley ,
Vacated ,
Whistleblower Protection Policies ,
Whistleblowers
Illinois will soon become the eleventh state to legalize the recreational use of marijuana. On June 25, 2019, Governor Pritzker signed into effect House Bill 1438—the Cannabis Regulation and Tax Act (“CRTA”). The CRTA,...more
6/27/2019
/ Decriminalization of Marijuana ,
Discipline ,
Drug Testing ,
Employment Policies ,
Exemptions ,
Federal v State Law Application ,
Governor Pritzker ,
Hiring & Firing ,
New Legislation ,
Off-Duty Employees ,
Recreational Use ,
Right to Privacy ,
State Legislatures ,
Workplace Safety ,
Zero Tolerance Policies
On June 3, 2019, the U.S. District Court for the Southern District of New York granted a defendant-employer’s motion for summary judgment on SOX and Dodd-Frank whistleblower retaliation claims, finding that the alleged...more
On June 3, 2019, the SEC’s Office of the Whistleblower announced a $3 million award to two whistleblowers who provided the SEC with information that led it to investigate and successfully bring an enforcement action for...more
6/19/2019
/ Corporate Counsel ,
Enforcement Actions ,
Investment Companies ,
Retail Investors ,
Rule 21F ,
Securities Exchange Act ,
Securities Fraud ,
Securities Violations ,
Whistleblower Awards ,
Whistleblowers ,
White Collar Crimes
On May 23, 2019, the Illinois Supreme Court issued a ruling in Kenrick Roberts v. Board of Trustees of Community College District No. 508, reaffirming the pleading standards for both common law retaliatory discharge and...more
On May 8, 2019, the House Committee on Financial Services passed H.R. 2515, the Whistleblower Protection Reform Act of 2019, which would amend Section 922 of Dodd-Frank to extend the statute’s anti-retaliation protections to...more
On May 8, 2019, the Seventh Circuit reaffirmed its test for determining employee status under federal anti-discrimination laws, holding that a physician lacked standing to bring Title VII claims against the hospital at which...more
5/15/2019
/ Anti-Doping Issues ,
Appeals ,
Classification ,
Economic Realities Test ,
Healthcare Facilities ,
Hospitals ,
Negligent Hiring ,
Non-Employees ,
Peer Review ,
Physicians ,
Standing ,
Summary Judgment ,
Title VII
In an unusual and eye-catching case, a hospital facing a whistleblower lawsuit from a former senior executive under the False Claims Act (“FCA”) has brought suit against that individual, alleging he breached his fiduciary...more
On April 2, 2019, the U.S. District Court for the Northern District of Alabama denied a defendant-employer’s motion for summary judgment on a SOX whistleblower retaliation claim, finding genuine issues of material fact...more
On April 11, 2019, the Illinois state Senate voted to pass Senate Bill 1829, also known as the Workplace Transparency Act (the “Act”). If passed by the House of Representatives, the Act would impose new requirements and...more
On February 28, 2019, a Los Angeles jury issued a verdict of $1.5 million in damages to a former employee who alleged his employer retaliated against him for reporting misconduct in violation of the False Claims Act (“FCA”),...more
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
3/7/2019
/ Attorney-Client Privilege ,
Corporate Counsel ,
Dodd-Frank ,
Foreign Corrupt Practices Act (FCPA) ,
Hiring & Firing ,
Internal Reporting ,
Jury Verdicts ,
Retaliation ,
Sarbanes-Oxley ,
Whistleblower Protection Policies ,
Whistleblowers
On February 15, 2019, the Fifth Circuit affirmed the grant of summary judgment in favor of Andeavor Corporation f/k/a Tesoro Corporation on a SOX whistleblower claim, concluding that the plaintiff lacked an objectively...more
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 January 23, 2019, the Seventh Circuit held that the ADEA’s prohibition of disparate impact discrimination do not extend to job applicants. Kleber v. CareFusion Corp., No. 17-cv-1206....more