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SEC alleges $150 million fraud in EB-5 immigrant investor program

Epstein Becker Green
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USA
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May 2 2013

On February 6, 2013, the U.S. Securities and Exchange Administration ("SEC") filed a civil lawsuit against an Illinois man and two of his companies

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

Federal court finds SOX whistleblower provisions cover employees of private firms acting under contract to public mutual funds

Epstein Becker Green
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USA
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May 21 2010

The U.S. District Court for the District of Massachusetts held in Lawson v. FMR LLC (pdf) that SOX coverage can apply not only to employees of publicly traded companies, but to employees of private management services firms as well

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

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

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

Beyond the administrative process -- courts show receptivity to arbitration of certain whistleblower claims

Epstein Becker Green
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USA
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May 12 2010

Like several other statutes, the Sarbanes-Oxley Act ("SOX") requires whistleblowers to initiate their complaints by an administrative filing with the Department of Labor's Occupational Safety and Health Administration

SOX whistleblower must actually believe employer's conduct was illegal, says Eleventh Circuit

Epstein Becker Green
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USA
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June 28 2010

An employee claiming whistleblower protection under the Sarbanes-Oxley Act must have actually believed that his company’s conduct was illegal in order to state a claim under the Act, according to a recent decision by the Eleventh Circuit Court of Appeals, Gale v. U.S. Department of Labor, Case No. 08-14232 (11th Cir., June 25, 2010

Sarbanes-Oxley “protected activity” wins a broad interpretation but is the decision faithful to congressional intent?

Epstein Becker Green
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USA
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April 8 2011

In a case packed with allegations of the kind rarely found beyond the script of a soap opera, the U.S. Department of Labor (“DOL”) Administrative Review Board (“ARB”) determined that protected activity under the Sarbanes-Oxley Act of 2002 (“SOX”) does not require a showing of fraud against shareholders

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

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