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Entries Tagged as 'Sarbanes-Oxley'

Supreme Court Says SOX Can Fit Almost Anyone

March 5th, 2014 · No Comments

TweetNOTE: A version of this post first appeared on Law360.com.  The author, R. Scott Oswald, was counsel of record on an amicus curiae brief filed in this case. In deciding Lawson v. FMR LLC, the first whistleblower case they have heard under the Sarbanes-Oxley Act (SOX), the justices of the U.S. Supreme Court agreed that […]

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Tags: Dodd-Frank Act · Federal Whistleblower Legislation · Retaliation · Sarbanes-Oxley · The Employment Law Group, P.C. · Whistleblower Protection

Justices Seek Middle Ground in Whistleblower Case

November 20th, 2013 · No Comments

TweetNOTE: A version of this post first appeared on Law360.com.  The author, R. Scott Oswald, was counsel of record on an amicus curiae brief filed in this case. In oral arguments for the first whistleblower case they have heard under the Sarbanes-Oxley Act (SOX), justices of the U.S. Supreme Court quickly locked onto the important […]

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Tags: Department of Labor ARB · Retaliation · Sarbanes-Oxley · United States Department of Labor · Whistleblower Protection

Federal Judge Rejects Asadi Limits on Whistleblower Protection

October 21st, 2013 · No Comments

TweetA federal judge ruled that the Dodd-Frank Act protects whistleblowers from retaliation even if they’re punished by an employer before bringing their concerns to the Securities and Exchange Commission (SEC). The ruling is the first explicit repudiation of July’s high-profile Asadi decision by the U.S. Court of Appeals for the Fifth Circuit, which held that […]

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Tags: Dodd-Frank Act · Sarbanes-Oxley · SEC Whistleblower · Uncategorized · Whistleblower Protection

Judge: Whistleblower’s Removal of Internal Documents Was Protected Under SOX

August 19th, 2013 · No Comments

TweetAn administrative law judge at the U.S. Department of Labor ruled that a whistleblower’s duplication and removal of confidential information from his employer was a protected activity under the Sarbanes-Oxley Act (SOX) — and that it was neither unlawful nor a valid reason for firing, as his employer had claimed.

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Tags: Department of Labor ARB · IRS Whistleblower Reward Program · Retaliation · Sarbanes-Oxley · United States Department of Labor · Whistleblower Protection

Sides Warm Up For SOX Case at the Supreme Court

August 9th, 2013 · No Comments

TweetArguments are shaping up for the U.S. Supreme Court’s hearing of its first whistleblower case brought under the Sarbanes-Oxley Act (SOX): This week, employee advocates filed an amicus curiae brief for the National Employment Lawyers Association (NELA) and the Government Accountability Project (GAP). The brief was drafted, in part, by The Employment Law Group, P.C.

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Tags: Department of Labor ARB · Sarbanes-Oxley · United States Department of Labor · Whistleblower Protection

Fifth Circuit Narrows Definition of “Whistleblower” Under Dodd-Frank

July 19th, 2013 · No Comments

TweetBy holding the Dodd-Frank  Act to a literal reading of its language — and rejecting any consideration of the statute’s goals — a federal appeals court has set up a battle over who may claim protection as a corporate “whistleblower” under the law. “We start and end our analysis with the text of the relevant […]

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Tags: Dodd-Frank Act · Sarbanes-Oxley · SEC Whistleblower · Whistleblower Protection

Tenth Circuit Gives Another Win to Sarbanes-Oxley Whistleblowers

June 5th, 2013 · No Comments

TweetAnother federal appeals court has supported the U.S. Department of Labor in its move toward a more employee-friendly reading of the Sarbanes-Oxley Act (SOX), holding that the law protects whistleblowers who flag any SOX-related wrongdoing — not just fraud against shareholders.

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Tags: Department of Labor ARB · Retaliation · Sarbanes-Oxley · Whistleblower Protection

ARB Again Holds that SOX Protects Employees Who Warn of Future Wrongdoing

May 29th, 2013 · No Comments

TweetThe U.S. Department of Labor’s Administrative Review Board (ARB) upheld all aspects of a $1.2 million award to a whistleblower in a retaliation case under the Sarbanes-Oxley Act (SOX), echoing a recent Third Circuit decision and lending further authority to the ARB’s landmark Sylvester decision from 2011. In Barrett v. e-Smart Technologies Inc., the ARB […]

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Tags: Department of Labor ARB · Retaliation · Sarbanes-Oxley

Supreme Court Takes a SOX Case — But What’s Its Agenda?

May 23rd, 2013 · No Comments

TweetThe U.S. Supreme Court has agreed to hear its first retaliation case brought under the whistleblower provisions of the Sarbanes-Oxley Act (SOX). The Court put Lawson v. FMR LLC on its docket for the term that begins in October 2013.

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Tags: Department of Labor ARB · Sarbanes-Oxley · United States Department of Labor · Whistleblower Protection

Court Won’t Review Wiest; “Reasonable Belief” Is Law in Third Circuit

May 7th, 2013 · No Comments

TweetThe U.S. Court of Appeals for the Third Circuit won’t grant an en banc review of an earlier panel decision that made it easier for whistleblowers to claim protection under the Sarbanes-Oxley Act (SOX). As a result, SOX whistleblowers in that jurisdiction — which includes Pennsylvania and Delaware — now are shielded from retaliation as […]

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Tags: Retaliation · Sarbanes-Oxley · United States Department of Labor · Whistleblower Protection

Menendez Redux: Halliburton Whistleblower Finally Gets Retaliation Award

April 15th, 2013 · No Comments

TweetThe U.S. Department of Labor’s Administrative Review Board (ARB) revisited a long-running case, once again ruling against Halliburton, the oilfield services giant, for retaliating against a whistleblower who reported accounting irregularities to the U.S. Securities and Exchange Commission (SEC). The ARB awarded financial executive Anthony Menendez $30,000 in damages, plus costs and lawyers’ fees.

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Tags: Department of Labor ARB · Sarbanes-Oxley · SEC Whistleblower

Third Circuit Supports Broader Access to Whistleblower Protection in Sarbanes-Oxley Cases

March 20th, 2013 · No Comments

TweetA federal appeals court made it easier for whistleblowers to claim protection under the Sarbanes-Oxley Act (SOX), adding dramatic weight to the U.S. Department of Labor’s landmark ruling that such employees can be protected even if they fail to cite the exact rules their employer may have broken. Instead, workers may simply show that they […]

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Tags: Retaliation · Sarbanes-Oxley · United States Department of Labor · Whistleblower Protection

Department of Labor Orders Ohio Company to Reinstate and Pay Whistleblower $270,000

September 21st, 2012 · No Comments

TweetDana Holdings Corp., an Ohio based company that supplies driveline, sealing and thermal management technologies for passenger, commercial and off-highway vehicles, has been ordered by the U.S. Department of Labor to reinstate a financial analyst and pay him $274,922.47 in compensatory damages in order to settle a whistleblower lawsuit filed under the Sarbanes-Oxley Act of […]

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Tags: Sarbanes-Oxley

Law360 Quotes R. Scott Oswald, Managing Principal of The Employment Law Group® on Recent Pro-Whistleblower Decision from the Department of Labor’s Administrative Review Board (ARB)

May 8th, 2012 · No Comments

TweetR. Scott Oswald, managing principal of The Employment Law Group® law firm was recently interviewed by Law360 on a recent Department of Labor Administrative Review Board (ARB) decision establishing a lighter burden of proof for whistleblowers under the Sarbanes-Oxley Act (SOX). The decision, Zinn v. American Commercial Lines Inc., ARB No. 10-029, ALJ No. 2009-SOX-25 […]

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Tags: Sarbanes-Oxley · The Employment Law Group, P.C.

Sarbanes-Oxley Compliance Journal Publishes Article by The Employment Law Group® Managing Principal, R. Scott Oswald

April 30th, 2012 · No Comments

TweetAccording to The Employment Law Group® law firm’s managing principal, R. Scott Oswald, “2011 marked a sea change for whistleblowers at the Department of Labor’s Administrative Review Board (ARB).”  The Sarbanes-Oxley Compliance Journal recently published an article by Mr. Oswald which discusses the impact of recent ARB decisions on whistleblower protection and describes why “2011 was […]

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Tags: Department of Labor ARB · Dodd-Frank Act · Sarbanes-Oxley · The Employment Law Group, P.C.

Managing Principal of The Employment Law Group®, R. Scott Oswald, Discusses the Importance of “Robust and Responsive Internal Compliance Programs” with Workforce Management Magazine

April 11th, 2012 · No Comments

TweetR. Scott Oswald, managing principal of The Employment Law Group®, was recently interviewed and quoted by Workforce Management Magazine on the subject of expanded whistleblower protection under the Dodd-Frank Wall Street Reform and Consumer Protection Act. In 2010, Dodd-Frank amended the Sarbanes-Oxley Act (SOX) and expanded whistleblower protections to include “nationally recognized statistical rating organizations” […]

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Tags: Dodd-Frank Act · Sarbanes-Oxley · The Employment Law Group, P.C.

R. Scott Oswald, Managing Principal of The Employment Law Group®, Publishes Article in The Washington Post on Recent Expansions of Employee Rights

April 11th, 2012 · No Comments

TweetR. Scott Oswald, managing principal of The Employment Law Group® recently published an article in The Washington Post discussing new expansions of employee rights in the areas of whistleblower protection and wage and hour law. In the piece, Mr. Oswald discussed recent developments in employee protection law that, if ignored, could result in penalties and […]

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Tags: Dodd-Frank Act · False Claims Act · Sarbanes-Oxley · SEC Whistleblower

Department of Labor Administrative Review Board Decision Limits Sarbanes-Oxley Retaliation Protections for Foreign Whistleblowers

February 7th, 2012 · No Comments

TweetOn December 22, 2011, the Department of Labor’s Administrative Review Board (ARB) issued a 3-2 en banc decision that limits the application of the Sarbanes-Oxley Act (SOX) outside of the United States. The case, Villanueva v. Core Laboratories, ARB No. 09-108, ALJ No. 2009-SOX-006 (ARB December 22, 2011), centered around a whistleblower complaint filed by […]

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Tags: Department of Labor ARB · Dodd-Frank Act · Sarbanes-Oxley · The Employment Law Group, P.C.

Capital Insider interviews Attorney Adam Augustine Carter about What Employees Should Know for 2012

January 10th, 2012 · No Comments

Tweet Morris Jones of Capital Insider interviewed The Employment Law Group® law firm attorney Adam Augustine Carter on the recent changes in whistleblower and employment law that will affect employees in 2012. The points Mr. Carter makes are that: There are almost 2 million home health aides and in-home care providers working in our country. Now with […]

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Tags: Dodd-Frank Act · Sarbanes-Oxley · The Employment Law Group, P.C.

7th Circuit Reinstates RICO Whistleblower Lawsuit, Applies Broad Relationship Standard

December 30th, 2011 · No Comments

Tweet The United States Court of Appeals for the Seventh Circuit reversed a lower court decision dismissing whistleblower Michael DeGuelle’s lawsuit against his former employer, S.C. Johnson & Son, Inc. (SCJ) and members of management.  The Court recounted the facts alleged by DeGuelle that gave rise to the lawsuit: [While working in SCJ’s tax department,]DeGuelle […]

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Tags: Sarbanes-Oxley

U.S. DOL ARB Ends Landmark Year Holding Summary Decision Improper Unless Employer Proves Sarbanes-Oxley Act Does Not Apply

December 30th, 2011 · No Comments

Tweet On December 16, 2011, the United States Department of Labor’s Administrative Review Board issued important decision for whistleblowers and their advocates to end a year of landmark Sarbanes-Oxley Act of 2002 (SOX) decisions by the ARB, including: Vannoy v. Celanese, ARB No. 09-118, ALJ No. 2008-SOX-064 (ARB September 28, 2011) (holding that whistleblower disclosures […]

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Tags: OSHA Whistleblower Protection Program · Sarbanes-Oxley

TELG Principal Quoted in Law360 Regarding New Sarbanes-Oxley Whistleblower Regulations

November 10th, 2011 · No Comments

TweetThe Employment Law Group® law firm principal attorney Nick Woodfield was quoted in a Law360 article regarding the Occupational Health and Safety Administration’s (OSHA) recently published interim final rules.  These rules implement the changes made to the whistleblower provisions of the Sarbanes-Oxley Act (SOX) as mandated in last year’s Dodd-Frank Wall Street Reform and Consumer […]

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Tags: Sarbanes-Oxley

OSHA Releases New Sarbanes-Oxley Whistleblower Rules

November 10th, 2011 · No Comments

TweetOn November 3, 2011, the Occupational Safety and Health Administration (OSHA) published interim final rules that modify regulations pertaining to whistleblower complaints filed under the Sarbanes-Oxley Act of 2002 (SOX). The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 contained amendments that strengthen SOX whistleblower provisions.  The recently released interim rules aim to […]

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Tags: Sarbanes-Oxley

Attorney R. Scott Oswald Quoted in Law360 Regarding Sarbanes-Oxley Decison

October 24th, 2011 · No Comments

TweetR. Scott Oswald, Managing Principal of The Employment Law Group® law firm, discusses in the Law360 article titled Revival of SOX Case Stokes Confidentiality Concerns, which outlines the U.S. Department of Labor Administrative Review Board’s blockbuster holding in Vannoy v. Celanese Corp.  Whistleblower Matthew Vannoy noticed potential weaknesses in his employer’s credit card reimbursement program and reported those weaknesses internally and to the IRS.  Some of […]

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Tags: IRS Whistleblower Reward Program · Sarbanes-Oxley

TELG Attorney Scott Oswald Discusses Landmark SOX Whistleblower Decision for LawyersUSA

October 20th, 2011 · No Comments

Tweet The Employment Law Group® attorney R. Scott Oswald discusses the landmark Menendez decision with LawyersUSA in an article titled SOX whistleblower decision creates employer problems.  The Department of Labor Administrative Review Board (ARB) ruled that a failure of management to maintain the confidentiality of a whistleblower is a violation of the anti-retaliation provision of the Sarbanes-Oxley Act (SOX).  Mr. Oswald outlines the positive consequences […]

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Tags: Sarbanes-Oxley