Tag Archives: Sarbanes-Oxley

SCOTUS to Resolve Circuit Split Over Dodd-Frank Whistleblowers

On Monday, June 26, 2017, the U.S. Supreme Court agreed to review whether the Dodd-Frank Act (DFA) prohibits retaliation against internal whistleblowers or only covers individuals who report to the U.S. Securities and Exchange Commission (the SEC).  This question has divided practitioners and lower courts alike since Dodd-Frank’s passage in 2010. As reported in our previous … Continue Reading

The ARB Potentially Broadens Protected Activity Under Sarbanes-Oxley

Just when employers thought that the anti-retaliation provision of the Sarbanes-Oxley Act of 2002 (SOX), 15 U.S.C. § 1514A, already covered a broad range of protected conduct, the Department of Labor’s Administrative Review Board (ARB), the appellate body that reviews Administrative Law Judge (ALJ) decisions, potentially broadened the scope of conduct that is protected from … Continue Reading

Will Your Company Be Wearing New SOX? – Supreme Court Expands Sarbanes-Oxley Whistleblower Protection to Employees of Privately-Held Companies

In a highly-anticipated decision having far-ranging impact for privately owned employers, the U.S. Supreme Court held that the whistleblower protections under § 1514A of the Sarbanes-Oxley Act of 2002 (“SOX”) extend not only to employees of publicly-held companies, but also to the employees of the privately-held “contractors” who provide services to public companies.  Lawson v. … Continue Reading

Employers Guilty Until Proven Innocent? Third Circuit Lowers the Bar for Employees Claiming Retaliation for Certain Protected Whistleblower Activities

In a decision that may have far-ranging impact for employers accused of retaliating against whistleblower-employees, the Third Circuit Court of Appeals recently held that an employee whose evidence was “entirely circumstantial,” and who did not provide “any evidence” of his employer’s alleged retaliatory motive, nonetheless presented enough evidence to survive summary judgment. Araujo v. NJ Transit Rail Operations, Inc., No. 12-2148 (3rd Cir. February 19, 2013). While the Araujo decision itself comes specifically from the federal whistleblower laws applicable to the railroad industry, the Third Circuit’s analysis of the applicable legal burdens may well apply to employers in such diverse industries as commercial trucking, airlines, maritime, automobile manufacture, and consumer products generally, as well as any employer covered by Sarbanes-Oxley.… Continue Reading
LexBlog