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
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, 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
2021 was another blockbuster year in the whistleblowing and retaliation arena. The U.S. Securities and Exchange Commission Office of the Whistleblower has now issued in excess of $1 billion in whistleblower bounties. ...more
On July 26, 2021, the United States District Court for the Northern District of California held, after a bench trial, that Plaintiff Botta failed to prove that Defendant PricewaterhouseCoopers LLP (“PwC”) terminated his...more
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
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
The anti-retaliation provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 protects only employees who complain directly to the Securities and Exchange Commission (SEC), the U.S. Supreme Court has...more
In a unanimous ruling that narrows the class of would-be whistleblowers under the Dodd-Frank Act, the U.S. Supreme Court held that the statute requires whistleblowers to first report potential securities violations to the SEC...more
The Supreme Court in Digital Realty Trust narrowed the definition of a whistleblower under the Dodd-Frank Act only to those persons who have provided information of a securities laws violation to the U.S. Securities and...more
Yesterday’s decision is good news for employers. It limits the ability of disgruntled former employees to seek whistleblower protection under the Dodd-Frank Act, and means there is one fewer weapon out there to be used...more