Compliance into the Weeds - SOX Compliance, PCAOB Inspections and Audits
Compliance into the Weeds-Episode 57-SOX Reform or Not?
Compliance into the Weeds-Episode 51, the PCAOB and Compliance
Compliance into the Weeds-Espiode 47
Everything Compliance-Episode 12
Day 5 of One Month to Better Investigations and Reporting-the Board’s Investigation Protocol
Compliance into the Weeds-Episode 30-SOX 404(b)
FCPA Compliance and Ethics Report-Episode 145-SEC Enforcement of the FCPA, Part II
The U.S. Supreme Court recently held that proving an employer’s retaliatory intent is not required for whistleblowers seeking protection under the Sarbanes-Oxley Act. In Murray v. UBS Securities, LLC, 144 S. Ct. 445 (2024),...more
The U.S. Securities and Exchange Commission’s (SEC) Whistleblower Program was created in Section 922 of the Dodd-Frank Act of 2010, which amended the Securities Exchange Act to include a whistleblower provision. It has since...more
Recently, the Supreme Court of the United States issued a decision in Murray v. UBS Securities, LLC holding that whistleblowers are not required to prove their employer acted with “retaliatory intent” to be protected under...more
On February 8, 2024, the United States Supreme Court issued an opinion in Murray v. UBS Securities, LLC, 601 U.S. ___(2024), a case involving a former UBS employee’s claim that he was terminated for making an internal report...more
In a unanimous ruling, the Supreme Court reaffirmed the whistleblower protections of the Sarbanes-Oxley Act in the case, Murray v. UBS Securities, LLC et al. (February 8, 2024). The Supreme Court’s decision reaffirms an...more
Last week in a unanimous opinion, the U.S. Supreme Court concluded that an employee who sued his former employer for retaliatory termination did not need to prove a retaliatory intent behind the decision. Murray v. UBS...more
On February 8, 2024, the United States Supreme Court released a unanimous opinion confirming that a whistleblower does not need to show their employer’s actions were made with “retaliatory intent” to be protected under the...more
On February 8, 2024, the United States Supreme Court issued its unanimous decision in Murray v. UBS Securities, LLC, concluding there is no implicit “retaliatory intent” requirement for whistleblower claims brought under the...more
On February 8, 2024, the United States Supreme Court, in Murray v. UBS Securities, LLC, issued a decision that expands the ability of whistleblowers to seek anti-retaliation protections under federal whistleblower laws....more
In a decision with potentially wide-ranging implications for federal whistleblower protection law, the Second Circuit has held that plaintiffs who allege they were punished by their employers for whistleblowing activity, and...more
On July 21, 2021, the U.S. District Court for the Southern District of New York held that the whistleblower protections established in SOX are not restricted to employee whistleblowers, but also extend to shareholders. SEC...more
On July 16, 2020, the Third Circuit affirmed the dismissal of a former IT analyst’s whistleblower retaliation claim, holding that he lacked an objectively reasonable belief that his complaints implicated one of the enumerated...more
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include: ...more
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
Public company directors, who are under constant threat of claims, received welcome news earlier this month. On December 9, 2019, the U.S. District Court for the Southern District of New York ruled that corporate directors...more
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
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. Recent developments include: New...more
ANTICORRUPTION DEVELOPMENTS – U.S. Agencies Decline to Prosecute Teradata for Alleged FCPA Violations – On February 26, 2018, Teradata Corporation, an Ohio-based enterprise software database management company,...more
On February 21, the U.S. Supreme Court issued its opinion in the closely watched whistleblower case Digital Realty Trust, Inc. v Somers. In a unanimous ruling, the Court stated that whistleblowers must report any wrongdoing...more
Resolving a Circuit split, the United States Supreme Court unanimously held last week that an employee must report a securities violation to the Securities and Exchange Commission if he wishes to avail himself of the...more
The US Supreme Court recently resolved a long-standing split amongst the Circuits regarding whether the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Act) protects both internal and external whistleblowers....more
The Supreme Court recently clarified the scope of SEC whistleblower retaliation provisions. Though the decision limits retaliation actions, employers should continue to avoid conduct that can be interpreted as retaliation...more
On February 21, 2018, the United States Supreme Court (the “Supreme Court”) resolved a circuit split on the question of whether the whistleblower anti-retaliation provision in Section 922 of the Dodd-Frank Wall Street Reform...more
On February 21, 2018, in the case of Digital Realty Trust, Inc. v. Somers, the United States Supreme Court unanimously decided that employees who raise internal complaints about possible violation of securities laws are not...more