Whistleblower Watch

Whistleblower Watch

Reports and Analysis of Developments in Whistleblower Law

Category Archives: Sarbanes-Oxley Act (SOX)

Subscribe to Sarbanes-Oxley Act (SOX) RSS Feed

Sixth Circuit Joins Other Courts in Easing Burden for SOX Whistleblowers

Posted in Occupational Health and Safety Administration (OSHA), Sarbanes-Oxley Act (SOX), Whistleblower Retaliation
The Sixth Circuit recently became the third circuit court to lessen the burden for putative SOX whistleblowers in proving they engaged in protected activity. In Rhinehimer v. U.S. Bancorp Investments, Inc., the Sixth Circuit abrogated a prior unpublished decision that required an employee’s complaint to “‘definitively and specifically relate to one of the six enumerated… Continue Reading

April 16 Webinar: The SEC Challenges Employer Confidentiality Protections

Posted in Dodd-Frank Act (Dodd-Frank), Events, Sarbanes-Oxley Act (SOX), Securities & Exchange Commission (SEC)
Please join us on Thursday, April 16 at 12 p.m. Eastern for the Crowell & Moring Labor & Employment group’s monthly “Third Thursday” webinar.  This month’s topic is the SEC’s recent scrutiny of employer confidentiality protections.  Our panel will include Tom Gies and Chris Calsyn of the Firm’s Labor & Employment group, as well as Dan… Continue Reading

Update: Fifth Circuit Rejects En Banc Rehearing of Halliburton Decision

Posted in Department of Labor (DOL), Internal Investigations, Sarbanes-Oxley Act (SOX), Whistleblower Retaliation
On March 11, 2015, the Fifth Circuit voted 8-7 against rehearing en banc the court’s November decision in Halliburton Co. v. Administrative Review Board. Three Fifth Circuit judges wrote a dissenting opinion, contending that the court should have heard the appeal en banc in order to provide greater clarification and guidance on what types of… Continue Reading

Court Finds SOX Protects Post-Employment Activities of Whistleblower

Posted in Sarbanes-Oxley Act (SOX), Whistleblower Retaliation
Employers just got an important reminder that certain actions by putative whistleblowers are still protected even after they no longer work for the company. In Kshetrapal v. Dish Network, LLC, Judge Crotty of the Southern District of New York denied Dish Network’s motion to dismiss a SOX whistleblower claim based not on activities taken by… Continue Reading

DOL Issues Final SOX Whistleblower Regulations

Posted in Sarbanes-Oxley Act (SOX), Whistleblower Retaliation
After waiting more than three years since issuing its interim final rule, DOL recently released its final rule implementing the Dodd-Frank Act revisions to the Sarbanes-Oxley Act (SOX) whistleblower regulations.  Despite the long wait, the final rule looks very similar to the interim final rule.  The most controversial provisions of the interim final rule – the preliminary… Continue Reading

4th Circuit Grants Emotional Distress Damages in SOX Case; Applies Four-Year Statute of Limitations to SOX Claims

Posted in Department of Labor (DOL), Sarbanes-Oxley Act (SOX), Whistleblower Retaliation
The Fourth Circuit just joined two of its sister Circuits and the Administrative Review Board (ARB) of the U.S. Department of Labor in granting emotional distress damages to a SOX whistleblower. In the same case, the Fourth Circuit also applied a four year statute of limitations to bring SOX claims in federal court after exhausting… Continue Reading

Dodd-Frank Whistleblower’s Claim Subject to Mandatory Arbitration Says 3rd Circuit

Posted in Dodd-Frank Act (Dodd-Frank), Sarbanes-Oxley Act (SOX), Whistleblower Retaliation
The Third Circuit just became the first Circuit court to find that a putative Dodd-Frank whistleblower’s retaliation claim is subject to a mandatory arbitration clause in an employment agreement. In Khazin v. TD Ameritrade, the Third Circuit affirmed the District Court’s decision requiring the plaintiff to arbitrate his sole claim that he was fired in… Continue Reading

Disclosure of Whistleblower’s Name, Alone, May Be Adverse Employment Action

Posted in Department of Labor (DOL), Internal Investigations, Sarbanes-Oxley Act (SOX), Whistleblower Retaliation
The Fifth Circuit recently affirmed that identifying a complaining employee while requesting that employees preserve documents for an SEC investigation was a “materially adverse” action under the anti-retaliation provisions of the Sarbanes-Oxley Act. The issue in Halliburton, Inc. v. Administrative Review Board, U.S. Dep’t of Labor arose when Halliburton employee Anthony Menendez made a confidential… Continue Reading