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Supreme Court of the United States › Whistleblowers › Securities and Exchange Commission (SEC)

The United States Supreme Court is the highest court of the United States and is charged with interpreting federal law, including the United States Constitution. The Court's docket is largely discretionary... more +
The United States Supreme Court is the highest court of the United States and is charged with interpreting federal law, including the United States Constitution. The Court's docket is largely discretionary with only a limited number of cases granted review each term.  The Court is comprised of one chief justice and eight associate justices, who are nominated by the President and confirmed by the Senate to hold lifetime positions. less -
Arnall Golden Gregory LLP

Government Investigations Team Insights - July 2024

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AGG’s Government Investigations Team Insights provides periodic updates covering legal and regulatory topics. Our team, which includes former federal prosecutors, SEC enforcement attorneys, and federal agency attorneys, has...more

NAVEX

A Look at the Whistleblowers Who Made Lasting Impacts

NAVEX on

As seen in the previous article, whistleblowing cases regularly make the news headlines. And while some of the names of the reporters or the cases are well known, it’s worthwhile to take a closer look at the people behind the...more

Paul Hastings LLP

Public Company Watch: April 2024

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In the April edition of our Public Company Watch, we cover key issues impacting public companies, including the SEC’s recent enforcement action regarding “AI Washing,” the SEC’s recent shadow trading case, proposed amendments...more

ArentFox Schiff

SCOTUS Holds That SOX Whistleblowers Are Not Required to Prove Retaliatory Intent

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In a victory for whistleblowers, a unanimous US Supreme Court has held that a whistleblower invoking the Sarbanes-Oxley Act of 2002, 18 U.S.C. §1514A(a) (SOX) is not required to prove that his or her employer acted with...more

Lathrop GPM

Lower Burden of Proof for Whistleblowers Established in Landmark Supreme Court Case

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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

Miller Nash LLP

(We Can’t Have No) Retaliation: Part One—SCOTUS Clarifies Whistleblower Claims Standard under Sarbanes Oxley

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On February 8, 2024, the U.S. Supreme Court reversed a federal court of appeals decision, resolving a relatively recent federal appeals court split regarding the standard for liability in Sarbanes-Oxley whistleblower claims....more

Pietragallo Gordon Alfano Bosick & Raspanti,...

A “Plaintiff-Friendly” Standard For SOX Whistleblowers – A Helping Hand For FCA Relators?

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On February 8, 2024, the US Supreme Court issued a unanimous opinion in Murray v. UBS Securities, LLC, No. 22-660 (U.S. 2024) restoring a $900K jury verdict in favor of a whistleblower under the Sarbanes-Oxley Act (SOX)...more

A&O Shearman

Supreme Court Rules Whistleblowers Need Not Prove Retaliatory Intent Under SOX

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On February 8, 2024, the Supreme Court of the United States unanimously held that whistleblower-plaintiffs need not prove that adverse employment actions were motivated by their employer’s retaliatory intent to obtain...more

Baker Donelson

U.S. Supreme Court Sides with SOX Whistleblower in Murray v. UBS Securities

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On February 8, 2024, the U.S. Supreme Court unanimously decided that an employee who blows the whistle under the Sarbanes-Oxley Act of 2002 (SOX) does not need to show that their employer had retaliatory intent to find...more

Ogletree, Deakins, Nash, Smoak & Stewart,...

Supreme Court Rules ‘Retaliatory Intent’ Not Required for Securities Whistleblower Protection

Ogletree, Deakins, Nash, Smoak & Stewart,... on

On February 8, 2024, the Supreme Court of the United States issued a decision holding that whistleblowers are not required to show “retaliatory intent” to be protected under the Sarbanes-Oxley Act of 2002, differentiating the...more

Sherman & Howard L.L.C.

Supreme Court Confirms Corporate Whistleblowers Don't Have to Prove Retaliatory Intent

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Tackling the tricky issue of how a plaintiff proves an employer's “intent,” in an opinion issued today, the United States Supreme Court unanimously held that under the Sarbanes-Oxley Act of 2002, corporate whistleblowers have...more

Proskauer Rose LLP

Top 10 Whistleblowing and Retaliation Events of 2023

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2023 was another groundbreaking year for whistleblower litigation and bounty awards. The U.S. Securities and Exchange Commission shattered records by issuing a $279 million award and continued to actively enforce the...more

MoFo Employment Law Commentary (ELC)

Whistleblower Roundup - Cal. Labor Code Section 1102.5, SOX, And More

MoFo Employment Law Commentary (ELC) on

Each year seems to bring significant developments in whistleblower law, and 2023 has been no exception. As whistleblower activity increases, so, too, has the scope of its protections. From state to federal government, from...more

Morrison & Foerster LLP

Top 5 SEC Developments (November 2023)

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Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine: • The SEC’s announcement of its Fiscal Year 2023 enforcement...more

Jackson Walker

White Collar Docket Check: US Supreme Court to Decide Key Administrative, Whistleblower, and Due Process Cases This Term

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The U.S. Supreme Court began its new term this week and is taking cases government enforcement practitioners will want to follow. Specifically, the Court will address issues concerning: the interplay between SEC...more

Foley & Lardner LLP

A Review of Recent Whistleblower Developments - July 2023

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SCOTUS to Review SOX Retaliation Case Involving Burden of Proof of Retaliatory Intent - On May 1, 2023, in Murray v. UBS Securities, LLC, No. 22-660, the United States Supreme Court granted former UBS Securities employee...more

Vinson & Elkins LLP

Supreme Court Set to Review Burden of Proving Retaliatory Intent in SOX Whistleblower Suits: Employee or Employer?

Vinson & Elkins LLP on

On May 1, 2023, the United States Supreme Court agreed to hear an appeal in Murray v. UBS Securities, LLC.1 There, the United States Court of Appeals for the Second Circuit held that an employee whistleblower suing under the...more

ArentFox Schiff

Investigations Newsletter: Supreme Court To Decide on DOJ Authority in FCA Suits

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Supreme Court To Decide on DOJ Authority in FCA Suits - On Tuesday, the US Supreme court agreed to hear a case examining whether the federal government has lost its authority to dismiss a whistleblowers False Claims Act...more

ArentFox Schiff

Investigations Newsletter: Supreme Court Declines to Review Issue of “Objective Falsity” Under False Claims Act

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Supreme Court Declines to Review Issue of “Objective Falsity” Under False Claims Act - On February 22, 2021, the United States Supreme Court denied petitions for certiorari in a case that could have addressed the issue of...more

ArentFox Schiff

Investigations Newsletter: Investment Bank To Pay Over $130 Million To Resolve Foreign Corrupt Practices Act and Fraud Allegations

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Deutsche Bank to Pay Over $130 Million to Resolve Foreign Corrupt Practices Act and Fraud Allegations - Deutsche Bank Aktiengesellschaft (Deutsche Bank) has agreed to pay more than $130 million to resolve the government’s...more

Foley & Lardner LLP

A Review of Recent Whistleblower Developments - October 2020

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SEC Whistleblower Program Rules Change - On September 23, 2020, the U.S. Securities and Exchange Commission (SEC) announced the adoption of a final rule in Release 34-89963 that changes several aspects of its whistleblower...more

Sheppard Mullin Richter & Hampton LLP

Despite Challenges, It’s Full Steam Ahead For SEC’s Enforcement Division

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On September 17, 2020, Stephanie Avakian, Director of the SEC’s Division of Enforcement, spoke at the Institute for Law and Economics, University of Pennsylvania Carey Law School Virtual Program. Ms. Avakian used her time to...more

Morrison & Foerster LLP

Top 10 International Anti-Corruption Developments For June 2020

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In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important international anti-corruption developments from the past month, with links to primary...more

Proskauer - Whistleblower Defense

SDNY Dismisses Dodd-Frank Whistleblower Claim for Lack of Protected Activity and Causation

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On February 28, 2020, the U.S. District Court for the Southern District of New York dismissed a former chief marketing officer’s claim of whistleblower retaliation under the Dodd Frank Act. Cellucci v. O’Leary No. 19-cv-02752...more

Dechert LLP

SEC’s Enforcement Division Releases 2019 Annual Report: Asset Management Industry Enforcement Leads to Record Numbers

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The Enforcement Division (Division) of the Securities and Exchange Commission released its Annual Report on November 6, 2019, summarizing the year’s enforcement activity. It was a record-setting year for the Division due to...more

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