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 December 21, 2018, the U.S. District Court for the Northern District of California stayed a plaintiff’s whistleblower retaliation claim under SOX (which was not subject to mandatory arbitration) while granting a motion...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 September 6, 2018, the SEC Office of the Whistleblower awarded $39 million to one whistleblower and $15 million to another. The $39 million award is the second-largest award in the history of the program, behind a $50...more
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
The ARB recently affirmed a motion for summary decision against a Complainant claiming retaliatory discharge under SOX, finding that he failed to demonstrate that he engaged in protected activity and that the Company would...more
On April 23, 2018, the U.S. District Court for the Northern District of Illinois ruled that a plaintiff’s SOX claim precluded his claim for common law retaliatory discharge. Cohen v. Power Solutions International, Inc., No....more
On February 22, 2018, the Tenth Circuit Court of Appeals reversed a district court’s grant of summary judgment against a Plaintiff who claimed that his employment was terminated in violation of the SOX whistleblower...more
3/1/2018
/ Chevron Deference ,
Department of Labor (DOL) ,
Email ,
Hiring & Firing ,
Insider Trading ,
Protected Activity ,
Reporting Requirements ,
Reversal ,
Sarbanes-Oxley ,
Summary Judgment ,
Whistleblower Protection Policies ,
Whistleblowers
On February 12, 2018, the United States District Court for the Northern District of Mississippi recently denied a motion for summary judgment in a SOX whistleblower claim where the defendant company alleged that it terminated...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
On January 22, 2018, the Missouri Court of Appeals upheld a jury verdict awarding approximately $1.5 million in damages to a radiation oncologist after finding that she had been constructively and wrongfully terminated in...more
2/1/2018
/ Appeals ,
Constructive Discharge ,
Corporate Counsel ,
Healthcare Fraud ,
Hiring & Firing ,
Public Policy ,
Retaliation ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers ,
Wrongful Termination
On January 17, 2018, a Portland, Oregon jury issued a verdict of $1 million in damages to a former employee who alleged that his employer retaliated against him for reporting misconduct. Zweizig v. Northwest Direct...more
The U.S. District Court for the District of Maryland recently denied a motion for summary judgment in a whistleblower retaliation claim under the Consumer Financial Protection Act of 2010 (CFPA), Section 1057 of Dodd-Frank,...more
On November 30, 2017, the SEC Office of the Whistleblower issued a bounty award of more than $16 million to two tipsters; each received an award of more than $8 million. The SEC denied awards to five other claimants....more
Background. Plaintiff worked with the Senior Advisor for Veteran Employment for the Department of Veteran Affairs (“Senior Advisor”) to develop an online veterans’ employment assistance program. The Senior Advisor’s husband...more
On October 17, 2017, the Tenth Circuit overturned the ARB’s decision in favor of complainant for want of protected activity under SOX. Dietz v. Cypress Semiconductor Corp., No. 16-9529 (Oct. 17, 2017). This decision rolled...more
10/27/2017
/ Administrative Law Judge (ALJ) ,
Administrative Review Board ,
Appeals ,
Department of Labor (DOL) ,
Mail Fraud ,
Offer Letters ,
Sarbanes-Oxley ,
Wage and Hour ,
Wage Deductions ,
Whistleblowers ,
Wire Fraud
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