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Hiring & Firing › Securities Violations › Sarbanes-Oxley

Hiring & Firing refers to the process of recruiting, interviewing and offering employment and the process of evaluating performance and dismissing employees. Hiring & Firing is a highly regulated area and... more +
Hiring & Firing refers to the process of recruiting, interviewing and offering employment and the process of evaluating performance and dismissing employees. Hiring & Firing is a highly regulated area and can create tremendous liability for employers who fail to properly adhere to acceptable employment practices. Some of the potential pitfalls in this area stem from discriminatory hiring practices, improper performance evaluations, and retaliatory firings.  less -
Littler

SCOTUS: Retaliatory Intent Not an Element of SOX Retaliation Claim

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The Supreme Court resolved a circuit split on February 8, 2024, when it issued its opinion in Murray v. UBS Securities, LLC, holding that a whistleblower need not prove that the employer acted with “retaliatory intent” in...more

Holland & Knight LLP

No Retaliatory Intent Required? Despite the Headlines, Nothing New for Employers

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In Murray v. UBS Securities, LLC, the case arose after Trevor Murray, a research strategist for UBS, was fired shortly after reporting to his direct supervisor that he had been "improperly pressured" to "skew" business...more

Dorsey & Whitney LLP

Protecting the Protectors: In Murray v. UBS, the U.S. Supreme Court Articulates the New Standard for SOX Whistleblower Claims

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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

FordHarrison

U.S. Supreme Court Decision Could Make it Harder for Employers to Defend Whistleblower Claims

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Executive Summary: The U.S. Supreme Court recently held that a whistleblower under the Sarbanes Oxley Act of 2002 (SOX) is not required to prove the employer acted with retaliatory intent to prevail on a whistleblower claim....more

Seyfarth Shaw LLP

The Second Circuit Creates a Circuit Split on Whistleblower Claim Standards

Seyfarth Shaw LLP on

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

Proskauer - Whistleblower Defense

CA Federal Court Dismisses Whistleblower Claims After Bench Trial

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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

Polsinelli

SDNY Rejects Director Liability for Sarbanes-Oxley Whistleblower Claims, Creating a Split Among Federal District Courts

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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

Proskauer - Whistleblower Defense

SDNY Grants Motion to Dismiss SOX Retaliation Claim

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On September 18, 2019, the U.S. District Court for the Southern District of New York granted a defendant-employer’s motion to dismiss a SOX whistleblower retaliation claim, finding that the plaintiff failed to adequately...more

Proskauer - Whistleblower Defense

District of Rhode Island Dismisses In-House Attorney’s SOX Whistleblower Claim for Lack of Protected Activity

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On July 19, 2019, the U.S. District Court for the District of Rhode Island granted an employer’s motion to dismiss a SOX whistleblower claim, holding that the Plaintiff—an in-house attorney—failed to allege sufficient facts...more

Proskauer - Whistleblower Defense

Fifth Circuit Affirms Summary Judgment on SOX Whistleblower Claim

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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

Proskauer - Law and the Workplace

Federal Court Allows SOX Whistleblower Claim To Proceed But Dismisses Dodd-Frank Claim

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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

Foley & Lardner LLP

A Review of Recent Whistleblower Developments - July 2018

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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

Jackson Lewis P.C.

U.S. Supreme Court Narrows Dodd-Frank Act Whistleblower Protections

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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

Fox Rothschild LLP

Justices Say Dodd-Frank’s Whistleblower Protections Cover Only Those Who Report To SEC

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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

Fisher Phillips

SCOTUS Slams Door On Attempt To Expand Retaliation Law

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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

Proskauer - Whistleblower Defense

E.D. Pennsylvania Limits Protected Activity Under SOX

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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

Proskauer - Whistleblower Defense

SDNY Refuses to Dismiss Executive’s Dodd-Frank Retaliation Claim

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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

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