Sarbanes-Oxley Whistleblower Archives

Decision Denying Motion for Summary Judgment Broadly Construes Sarbanes-Oxley Protected Whistleblowing

Bank Whistleblower Defeats Motion for Summary Judgment Richard Trusz, the former head of valuation at a subsidiary of UBS, has defeated a motion for summary … Continued

OSHA Orders Bank to Reinstate Sarbanes-Oxley Whistleblower

JP Morgan Chase Whistleblower Prevails in CFPA Retaliation Claim at OSHA OSHA has ordered JP Morgan Chase to reinstate a former operations manager whose employment … Continued

Tax Notes Quotes Whistleblower Lawyer Zuckerman About SOX Whistleblower Case

Scope of Sarbanes-Oxley Protected Whistleblowing An article in Tax Notes entitled Viacom Sued for Wrongful Dismissal Over Transfer Pricing Arrangement quotes whistleblower lawyer Jason Zuckerman about … Continued

SOX Whistleblower Lawyer Co-Authors ABA Paper About Sarbanes-Oxley Whistleblower Protection

Sarbanes-Oxley Whistleblower Lawyer SOX whistleblower lawyer Jason Zuckerman co-authored the 2016 Annual Update on the Whistleblower Provisions of SOX for the Midwinter Meeting of … Continued

SOX Whistleblower Decision Adopts Favorable Pleading Standard for Whistleblowers

A decision from the District of Connecticut in a Sarbanes-Oxley whistleblower retaliation case sets forth a favorable pleading standard for SOX whistleblowers and underscores … Continued

District Court Rejects Materiality Requirement for Sarbanes-Oxley Whistleblower Actions

Sarbanes-Oxley Whistleblower Need Not Prove Securities Fraud In Donaldson v. Severn Savings Bank, Judge Bredar held that there is no independent materiality element to establish protected … Continued

SEC Enforcement Action Portends Rewards for Cybersecurity Whistleblowers

Cybersecurity SEC Enforcement Action The Securities and Exchange Commission announced on Tuesday that it had settled charges that investment adviser R.T. Jones Capital Equities Management … Continued

SOX Protection for Contractors Limited to Disclosures About Wrongdoing at Publicly-Traded Companies

The whistleblower protection provision of SOX prohibits an “officer, employee, contractor, subcontractor or agency” of a publicly-traded company from retaliating against “an employee” for disclosing … Continued

SOX Whistleblower Protection Remains a Vital Remedy Post-Berman

In the wake of the Second Circuit’s holding in Berman v. Neo@Ogilvy that the Dodd-Frank Act’s whistleblower provision protects internal disclosures, several commentators are predicting … Continued

Sarbanes-Oxley Whistleblower Recovers Nearly $5 Million

Sarbanes-Oxley Whistleblower Wins at Trial A New York federal jury awarded $1.6M in compensatory damages to a whistleblower in a Sarbanes-Oxley whistleblower retaliation lawsuit. With … Continued

Sixth Circuit Hands A Landmark Victory to SOX Whistleblowers

SOX Corporate Whistleblower Prevails at Trial and on Appeal The Sixth Circuit’s decision in Rhinehimer v. U.S. Bancorp Investments, Inc. on May 28 broadly construing protected … Continued

DOL OALJ Revamps Procedural Rules

Procedural Rules Governing Whistleblower Retaliation Claims Adjudicated at DOL OALJ The Department of Labor has issued its final rule revising the Rules of Practice and … Continued

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