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Second Circuit confirms burden of proof in SOX whistleblower retaliation cases

Epstein Becker Green
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USA
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March 7 2013

On March 5, 2013, the U.S. Second Circuit Court of Appeals clarified the burden-shifting framework applicable to whistleblower retaliation claims

Dodd-Frank's ambiguous definition of "whistleblower" construed broadly to favor employee protection

Epstein Becker Green
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USA
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October 10 2012

In what has been reported to be the first decision permitting a retaliation claim under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank”) to survive dismissal, the U.S. District Court for the District of Connecticut (“Court”) has adopted a broad view of who qualifies as a “whistleblower” under that law

District court holds that Dodd-Frank's extension of Sarbanes-Oxley whistleblower protection to employees of subsidiaries of public companies applies retroactively

Epstein Becker Green
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USA
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July 10 2012

The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank”) extended Sarbanes-Oxley’s whistleblower protection provision beyond employees of publicly-traded companies to reach the employees of their privately-held subsidiaries as well

District court holds that Dodd-Frank whistleblower protection does not have extraterritorial reach--longstanding presumption against extraterritoriality may also apply to other statutes

Epstein Becker Green
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USA
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July 5 2012

Global whistleblowers cannot look to the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank”) for protection against retaliation, according to a recent federal court decision

Sarbanes-Oxley whistleblower coverage expanded by Department of Labor to private firms serving publicly traded companies - accountants, lawyers, consultants, and advisors, beware!

Epstein Becker Green
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USA
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June 21 2012

The U.S. Department of Labor (“DOL”) Administrative Review Board (“ARB”) has sounded an alarm that needs to be heard by accounting firms, law firms, and other consultants, advisors, and providers of services to publicly traded companies

If pending New York State law restricting use of credit reports is enacted, will financial institutions be exempt?

Epstein Becker Green
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USA
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June 12 2012

As a direct result of the financial crisis, an increasing number of states have enacted or are considering statutes that prohibit or restrict employers from obtaining and using credit reports for making hiring and other employment decisions

New FINRA rule confirms that whistleblower claims need not be arbitrated

Epstein Becker Green
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USA
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May 25 2012

Before the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd Frank”) was enacted, whistleblower claims by registered representatives, including those arising pursuant to the Sarbanes-Oxley Act of 2002 (“SOX”) were subject to mandatory arbitration at FINRA

New York’s at-will employment rule applies to compliance officer allegedly fired for objecting to misconduct

Epstein Becker Green
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USA
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May 22 2012

The New York Court of Appeals has rejected a wrongful discharge cause of action brought by a hedge fund compliance officer who claimed that he was terminated for questioning a series of personal stock trades by the company’s president

FINRA Rules 13201 and 13802: Arbitrating statutory employment discrimination claims

Epstein Becker Green
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USA
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May 1 2012

Once upon a time, it was mandatory under Form U4 that registered representatives file any statutory claims of discrimination (such as age, gender, or race discrimination) in arbitration rather than in court

Negotiating FINRA U5 termination language can later disqualify an employee’s attorney

Epstein Becker Green
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USA
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April 3 2012

A recent New York state court decision granted a fairly unique petition to disqualify the attorney for a group of former employees from representing them in an intra-industry arbitration at FINRA

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