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
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 11, 2017, the Chicago City Council passed the Hotel Workers Sexual Harassment Ordinance (the “Ordinance”), which requires Chicago hotels to develop anti-sexual harassment policies and provide employees who work...more
10/30/2017
/ Anti-Harassment Policies ,
Anti-Retaliation Provisions ,
Business Licenses ,
Civil Rights Act ,
Hospitality Industry ,
Hotels ,
Human Rights ,
Local Ordinance ,
Penalties ,
Retaliation ,
Sexual Assault ,
Sexual Harassment ,
Title VII ,
Workplace Safety
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 Seventh Circuit recently concluded that the EEOC’s investigative powers do not end when a lawsuit related to the originating charge ends. EEOC v. Union Pacific, No. 15-cv-3452 (Aug. 15, 2017)....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
The Southern District of New York recently dismissed Dodd-Frank whistleblower retaliation claims brought by an employer’s ex-President and an ex-Director pursuant to Rule 12(b)(6) on res judicata grounds, determining that...more
8/12/2017
/ Arbitration ,
C-Suite Executives ,
Dismissals ,
Dodd-Frank ,
Federal Rule 12(b)(6) ,
Hiring & Firing ,
Res Judicata ,
Retaliation ,
Securities and Exchange Commission (SEC) ,
Whistleblower Protection Policies ,
Whistleblowers
The Ninth Circuit recently affirmed a grant of summary judgment in an employer’s favor, dismissing a SOX and Dodd-Frank whistleblower retaliation case based on the plaintiff’s lack of an objectively reasonable belief of...more
8/7/2017
/ Appeals ,
Dismissals ,
Dodd-Frank ,
Hiring & Firing ,
Independent Contractors ,
Objective Unreasonableness Standard ,
OFCCP ,
Reaffirmation ,
Retaliation ,
Sarbanes-Oxley ,
Securities Fraud ,
Summary Judgment ,
Whistleblowers
On July 25, 2017, the Third Circuit allowed a plaintiff who was an in-house attorney to proceed with a whistleblower retaliation lawsuit under the New Jersey Conscientious Employee Protection Act (CEPA) based on its...more
7/31/2017
/ Appeals ,
CEPA ,
Corporate Counsel ,
Ethics ,
Hiring & Firing ,
Motion to Dismiss ,
Patents ,
Retaliation ,
Reversal ,
Rules of Professional Conduct ,
Whistleblowers
The U.S. District Court for the Northern District of Illinois recently granted a Rule 12(b)(1) and (6) motion to dismiss a former employee’s complaint alleging retaliation under the Illinois Whistleblower Act (“IWA”). Huang...more
The United States District Court for the Western District of Tennessee recently emphasized the limited scope of what constitutes protected activity under the Dodd-Frank Act’s (the Act) whistleblower protection provision,...more
On June 7, 2017, the U.S. District Court for the Northern District of Illinois dismissed a whistleblower retaliation claim under the Dodd-Frank Act because the plaintiff failed to report his complaint of alleged securities...more
On February 1, 2016, the Northern District of Indiana ruled in a case brought under the Federal Railroad Safety Act (FRSA) that whether a whistleblower has fulfilled relevant administrative requirements prior to filing suit...more
3/30/2017
/ Administrative Remedies ,
Affirmative Defenses ,
Burden of Proof ,
Exhaustion Doctrine ,
Federal Railroad Safety Act ,
Federal Rule 12(b)(1) ,
OSHA ,
Retaliation ,
Sarbanes-Oxley ,
Subject Matter Jurisdiction ,
Whistleblowers
On March 1, 2017, the District of Maryland dismissed a Dodd Frank whistleblower retaliation claim because the plaintiff failed to allege that he had complained directly to the SEC about a violation of securities laws, and...more
In one of the first cases to address the standard governing a motion for summary judgment in a Dodd-Frank whistleblower retaliation case, Judge Jed S. Rakoff ruled that two former executives of Vista Outdoor Inc. (the...more
On January 13, 2017, OSHA published the Recommended Practices for Anti-Retaliation Programs. OSHA’s guidance provides examples and suggestions of steps companies can take to implement an effective anti-retaliation program. ...more
An ALJ at the U.S. Department of Labor (DOL) recently ruled that a former CFO was entitled to approximately $1.9 million in back pay, front pay, and compensatory damages, concluding that he was retaliated against in violation...more
12/9/2016
/ Administrative Law Judge (ALJ) ,
Back Pay ,
Compensatory Damages ,
Corporate Counsel ,
Department of Labor (DOL) ,
EBITDA ,
Fraud ,
Front Pay ,
Retaliation ,
Sarbanes-Oxley ,
Whistleblowers
In Westawski v. Merck & Co., No. 14-cv-3239 (E.D. Pa. Oct. 18, 2016), the Eastern District of Pennsylvania granted Defendant Merck & Co. (Company) summary judgment on Plaintiff Joni Westawski’s (Plaintiff) SOX whistleblower...more
10/31/2016
/ Adverse Employment Action ,
Anti-Retaliation Provisions ,
Dodd-Frank ,
Fraud ,
Hiring & Firing ,
Internal Controls ,
Mail Fraud ,
Market Research ,
Merck ,
Protected Activity ,
Retaliation ,
Sarbanes-Oxley ,
Securities ,
Securities Fraud ,
Securities Violations ,
Summary Judgment ,
Termination ,
Whistleblower Protection Policies ,
Whistleblowers ,
Wire Fraud
On August 24, 2016, the Southern District of New York denied Defendants’ motion to dismiss a Dodd-Frank whistleblower retaliation claim brought by its former co-CEO and Executive Chairman of its Board of Directors, finding...more
9/26/2016
/ Corporate Counsel ,
Disclosure Requirements ,
Dodd-Frank ,
Federal Rule 12(b)(6) ,
Form 10-K ,
Hiring & Firing ,
Misrepresentation ,
Motion to Dismiss ,
Retaliation ,
Sarbanes-Oxley ,
Securities ,
Securities Fraud ,
Securities Violations ,
Termination ,
Whistleblowers
On June 22, 2016, Judge Daniels of the Southern District of New York dismissed SOX and Dodd-Frank whistleblower claims, ruling that Plaintiff’s alleged internal complaints did not constitute protected activity, as they did...more
6/29/2016
/ Conflicts of Interest ,
Corporate Counsel ,
Dismissals ,
Dodd-Frank ,
Employee Transfers ,
Federal Rule 12(b)(6) ,
Internal Reporting ,
Protected Activity ,
Retaliation ,
Sarbanes-Oxley ,
Securities Violations ,
Whistleblowers
On June 6, 2016, the Eighth Circuit affirmed the Minnesota District Court’s grant of summary judgment on SOX and Dodd-Frank whistleblower retaliation claims based on the plaintiff’s failure to establish a reasonable belief...more
6/14/2016
/ Corporate Counsel ,
Dodd-Frank ,
Objective Unreasonableness Standard ,
Oracle ,
Popular ,
Retaliation ,
Sarbanes-Oxley ,
Securities Fraud ,
Summary Judgment ,
Termination ,
Whistleblowers
On May 20, 2016, the Fourth Circuit affirmed the decision of the ARB, finding that a former employee of Deltek, Inc. (Company) was retaliated against in violation of Section 806 of SOX and entitled to four years’ worth of...more
5/24/2016
/ Administrative Law Judge (ALJ) ,
Administrative Review Board ,
Corporate Counsel ,
Department of Labor (DOL) ,
Front Pay ,
Protected Activity ,
Retaliation ,
Sarbanes-Oxley ,
Termination ,
Whistleblower Awards ,
Whistleblowers
The ARB recently concluded that a former program manager was entitled to recover more than $250,000 in back pay and benefits under Section 806 of SOX based on his discipline and constructive discharge. The ARB clarified that...more
4/15/2016
/ Administrative Law Judge (ALJ) ,
Administrative Review Board ,
Back Pay ,
Constructive Discharge ,
Discipline ,
Fraud ,
Material Misrepresentation ,
Protected Activity ,
Retaliation ,
Sarbanes-Oxley ,
Wage Deductions ,
Whistleblower Protection Policies ,
Whistleblowers