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Tag Archives: SOX

Amicus Filed in Major SOX case, Genberg v. Porter

Posted in Corporate Whistleblowers
On Friday, January 6th 2017, the National Whistleblower Center filed an Amicus Brief before the Tenth Circuit in Genberg v. Porter. The Genberg case deals with the definition of reasonable belief under the Sarbanes-Oxley Act (SOX). SOX requires whistleblowers to have a reasonable belief that a violation has happened or might happen in the future in order to be protected.… Continue Reading

Big Win for Corporate Whistleblowers at Supreme Court

Posted in Corporate Whistleblowers
SOX whistleblower protection covers mutual fund industry Washington, D.C. March 4, 2014. The U.S. Supreme Court ruled today in Lawson v. FMR, LLC, that contractors and subcontractors of publicly traded companies are fully protected under the Sarbanes-Oxley Act for corporate whistleblowers. Significantly, in today’s decision the Supreme Court explicitly held that investment advisors and other “independent contractors” employed in the mutual… Continue Reading

Federal judge rules in favor of whistleblower Benjamin Ashmore

Posted in Corporate Whistleblowers
U.S. District Court Judge Leonard B. Sand issued a ruling on Tuesday that allowed a corporate fraud whistleblower, Benjamin Ashmore, to proceed with his case under the Sarbanes-Oxley Act (SOX). The CGI Group is a Canadian company that lists its stock on the New York Stock Exchange (NYSE: GIB).  It provides technology and management services.  Its US subsidiary, CGI Federal,… Continue Reading

ARB says SOX covers contractor’s employees; rejects Lawson

Posted in Corporate Whistleblowers, Department of Labor
The U.S. Department of Labor, Administrative Review Board (ARB) issued a precedent setting decision last week holding that the Sarbanes-Oxley Act (SOX) does protect the employees of contractors to publicly traded companies.  The decision is particularly noteworthy as the ARB rejected the First Circuit decision in Lawson v. FMR, LLC, Case No. 10-2240 (1st Cir. 2012). The ARB decision is… Continue Reading

No SOX protection for contractor’s employees, First Circuit majority says

Posted in Corporate Whistleblowers, Department of Labor
  On February 3, 2012, two judges of the U.S. Court of Appeals for the First Circuit dismissed the SOX whistleblower claims of Jackie Lawson and Jonathan Zang. The case is Lawson v. FMR, LLC, Case No. 10-2240 (1st Cir. 2012). To justify this dismissal, the two judge majority held that the SOX whistleblower statute was not remedial, that it… Continue Reading

“From Whistleblower to RICO Claimant”

Posted in Corporate Whistleblowers
Originally Published by FCPA Compliance and Ethics Blog Author: Thomas Fox The holiday season is past and many of us have returned to work. However, if you are a Chief Compliance Officer (CCO) there is a gift that you may wish to give yourself, it is “The Whistleblower’s Handbook – A Step-by-Step Guide to Doing What’s Right and Protecting Yourself”… Continue Reading

Sylvester wins at ARB in a victory for all whistleblowers

Posted in Corporate Whistleblowers, Department of Labor, Healthcare, Legislation, Pharmaceuticals
On May 25, 2011, the Department of Labor’s Administrative Review Board (ARB) issued a major decision in favor of whistleblowers. In Sylvester v. Parexel International, ARB Case No. 07-123 (ARB May 25, 2011), the ARB held that a whistleblower only needs a "reasonable belief" of a violation to engage in protected activity under the 2002 Sarbanes-Oxley Act (SOX). The ARB… Continue Reading

Ninth Circuit denies protection for going to the media

Posted in Corporate Whistleblowers, Legislation, News
In a major setback for whistleblowers, a panel of the Ninth Circuit U.S. Court of Appeals has decided that going to the media can never be protected activity under the Sarbanes-Oxley Act (SOX). The decision, issued in the case of Tides v. Boeing Corporation, upheld the firing of two Boeing employees, Nicholas P. Tides (a compliance specialist) and Matthew C.… Continue Reading

ARB holds that SOX covers subsidiaries

Posted in Corporate Whistleblowers, Department of Labor
The U.S. Department of Labor’s Administrative Review Board (ARB) (shown in a file photo) yesterday decided that the 2002 Sarbanes-Oxley Act (SOX) protects the employees of subsidiaries of publicly traded companies. The case is Carri Johnson v. Siemens Building Technologies, Inc., ARB Case No. 08-032 (ARB Mar. 31, 2011). This is the first case in which the Obama Era ARB… Continue Reading

Judge says Dodd-Frank arbitration ban applies retroactively

Posted in Corporate Whistleblowers
U.S. District Court Judge Douglas Woodlock issued an order yesterday that applies a ban on arbitration agreements retroactively. Congress enacted the ban as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act.  Section 922 of the Dodd-Frank Act amends the Sarbanes-Oxley Act (SOX) to say that, "No predispute arbitration agreement shall be valid or enforceable, if the agreement… Continue Reading

NELA to host webinar on new whistleblower remedies

Posted in Corporate Whistleblowers, Events, False Claims / Qui Tam, Legislation, Whistleblower FAQ
The National Employment Lawyers Association (NELA) has scheduled a webinar called Using New Developments In Whistleblower Laws To Your Client’s Advantage.  It will be on March 10, 2011, 11:00 am Pacific, 2:00 pm Eastern. This 90-minute webinar will address new developments in whistleblower law, including recent decisions strengthening the rights of federal employee whistleblowers. Speakers will include Tom Devine of… Continue Reading

ARB holds first oral argument in a SOX case

Posted in Corporate Whistleblowers, Department of Labor, Healthcare, Legislation, Pharmaceuticals
Today the Department of Labor’s Administrative Review Board (ARB) held its first oral argument in a case under the Sarbanes-Oxley Act (SOX). Last November, the ARB gave notice of today’s oral argument, and invited interested groups to submit friend-of-the-court (or "amicus") briefs. The ARB asked the parties to address issues of how specific OSHA complaints have to be, whether Administrative… Continue Reading

Amicus briefs address OSHA complaints and protected activity

Posted in Corporate Whistleblowers, Department of Labor, Environmental Whistleblowers, Trucker whistleblowers, Whistleblower FAQ
My colleague, Stephen M. Kohn (Executive Director of the National Whistleblowers Center) and I spent New Year’s Eve racing the clock to file two friend-of-the-court "amicus" briefs with the Department of Labor’s Administrative Review Board (ARB). Last November, the ARB issued an invitation to file amicus briefs to address a series of questions about the requirements for valid whistleblower complaints.… Continue Reading

Boeing’s brief claims SOX can never protect disclosures to the media

Posted in Corporate Whistleblowers, Department of Labor
Lawyers for Matt Neumann and Nick Tides are currently finishing their last brief to the U.S. Court of Appeals for the Ninth Circuit in an appeal that will decide if corporate fraud whistleblowers can ever be protected from retaliation when they make disclosures to the media. For the National Whistleblowers Center, David Colapinto and I filed a brief in September… Continue Reading

NWC files brief arguing that SOX protects disclosures to the media

Posted in Corporate Whistleblowers, Department of Labor, News
On behalf of the National Whistleblowers Center (NWC), David Colapinto and I filed a friend-of-the-court brief last week arguing that the Sarbanes-Oxley Act (SOX) can protect corporate whistleblowers who make disclosures through the media. We filed the brief with the U.S. Court of Appeals for the Ninth Circuit in the case of Tides v. The Boeing Company, Case No. 10-35238.… Continue Reading

Whistleblower sues Bayer over termination

Posted in Corporate Whistleblowers
According to Reuters, whistleblower, Ralph Fabiano, sued German pharmaceutical manufacturing company, BAYER AG. Fabiano alleges that he was terminated from his position at the company for refusal to alter the results of particular auditing and accounting tests required under the Sarbanes-Oxley Act. Subsequent to Fabiano’s dogged refusal to falsify data, he was removed from the project and fired shortly thereafter.… Continue Reading

NWC letter to ARB explains how Dodd-Frank Act ices SOX subsidiary coverage

Posted in Corporate Whistleblowers, Department of Labor
Last week, I posted here an amicus brief for the U.S. Department of Labor’s Administrative Review Board (ARB) explaining how the Sarbanes-Oxley Act (SOX) protects corporate whistleblowers employed by the subsidiaries of publicly traded companies. What a difference a day makes. With President Obama’s signature today on the Dodd-Frank Wall Street Reform Act, SOX is now amended to explicitly protect… Continue Reading

Lawyers start assessing Dodd-Frank Act remedies

Posted in Corporate Whistleblowers, Department of Labor, False Claims / Qui Tam, Legislation
President Obama is scheduled to sign the Dodd-Frank Act tomorrow to enact the most significant reforms of our financial system in generations. Lawyers are already assessing some of those reforms, and we are focused on the new provisions for whistleblowers. My colleague, Lindsey Williams (Advocacy Director of the National Whistleblowers Center) already reported here on the substantive provisions of the… Continue Reading

NWC joins with NELA and GAP for ARB amicus on SOX subsidiary coverage

Posted in Department of Labor
In April, I wrote here about the request of the Department of Labor’s Administrative Review Board (ARB) for amicus (friend of the court) briefs on whether the Sarbanes-Oxley Act (SOX) protects employees of subsidiaries.  The National Whistleblowers Center (NWC) joined with the National Employment Lawyers Association and the Government Accountability Project to submit an amicus brief as requested by the… Continue Reading

Congress Passes Major Whistleblower Reforms as Part of Wall Street Reform Bill

Posted in Corporate Whistleblowers
The Wall Street Reform and Consumer Protection Act (H.R. 4173) passed 60-39 by Congress today includes a number of provisions designed to protect employees who report fraud in the commodity and stock exchanges. This is one of the most important whistleblower laws ever passed. The NWC has compiled the sections of this bill that pertain specifically to whistleblowers with a one-sentence summary of each...… Continue Reading

SOX whistleblower provision survives Supreme Court decision

Posted in Corporate Whistleblowers, Department of Labor, Legislation, News
Today the Supreme Court, by a 5-4 vote, held that one provision of the Sarbanes-Oxley Act (SOX) is unconstitutional.  However, it also held that this one provision is "severable" so that the other provisions of SOX, including the whistleblower protection, are still in force.  The case is Free Enterprise Fund v. Public Company Accounting Oversight Board, No. 08-861 (June 28,… Continue Reading

Sixth Circuit stays Goerge Fort’s reinstatement, without considering the public interest

Posted in Corporate Whistleblowers
Last week, the Sixth Circuit U.S. Court of Appeals stayed George Fort’s preliminary order of reinstatement. Tennessee Commerce Corp. fired Fort last year after he sent a letter to the company’s audit committee about failures in the bank’s internal controls. Fort filed a whistleblower complaint under the Sarbanes-Oxley Act (SOX). I reported here about how the Occupational Safety and Health… Continue Reading