Whistleblower Law Blog

Jason Zuckerman, a Principal at The Employment Law Group® law firm, is quoted in a Law360 article titled “Solis’ Whistleblower-Friendly Board May Reshape SOX.”  The article discusses the recent appointment of Paul Igasaki as ARB chair and Cooper Brown as vice chair and predicts that the ARB’s interpretation of the Sarbanes-Oxley Act will become more […]

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The Employment Law Group® law firm is a contributing author of the 2010 annual update on the whistleblower retaliation provision of the Sarbanes-Oxley Act, a copy of which is available here.  This annual update is a project of the ABA Section of Labor and Employment Law Committee on Federal Labor Standards Legislation Subcommittee on the […]

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Adam Augustine Carter, a Principal at The Employment Law Group® law firm, was quoted in a January 4, 2010 article published by Law360 about TELG’s success in a SOX case before the Fourth Circuit.  The article discusses the Fourth Circuit’s decision in Stone v. Instrumentation Laboratory Company which we blogged about here.  Stone was a […]

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On December 31, 2009, in a case of first impression, the Fourth Circuit held in Stone v. Instrumentation Laboratory Company that a Sarbanes-Oxley (SOX) complainant may seek de novo review in federal court after the complaint has been pending before DOL for over 180 days without a final decision by the Secretary of Labor.  In […]

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Tom Harrington, an associate at The Employment Law Group® law firm, was quoted in a December 3, 2009 article published by The Raleigh News & Observer.  The article, “Tony Rand accused of insider trading,” discusses accusations of insider trading by Paul Feldman, the former President of Law Enforcement Associates.  Mr. Feldman claims he was unlawfully […]

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Today, Law360 published a column by principals R. Scott Oswald and Jason Zuckerman of The Employment Law Group® law firm on the Ninth Circuit’s recent decision in Van Asdale v. International Game Technology.  The column discusses how the Van Asdale decision is a substantial victory for SOX whistleblowers in that it resolves ambiguities in favor […]

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In an article titled, “Recent Court Decision Clarifies Whistleblower Law,” Compliance Week reports about the Ninth Circuit’s recent decision in Van Asdale v. International Game Technology about the scope of the whistleblower retaliation provision of the Sarbanes-Oxley Act (“SOX”).  According to Scott Oswald, a principal with The Employment Law Group® law firm, the Ninth Circuit’s […]

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On August 13, 2009, the Ninth Circuit issued a key decision on the scope of protected conduct under the whistleblower provision of the Sarbanes Oxley Act, rejecting the district court’s holding that SOX whistleblowers must prove that they blew the whistle on actual shareholder fraud.  In Van Asdale v. Int’l Game Tech., the court held […]

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In an article titled, “Whistleblowers May Do Better Under Obama Administration,” Law 360 reports that the Department of Labor (”DOL’) continues to side with employers in its investigation of whistleblower retaliation claims filed under the Sarbanes-Oxley Act (“SOX”).  Despite the discouraging statistics, Jason Zuckerman of The Employment Law Group® law firm has expressed optimism about the […]

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In an article titled, “ARB Upholds Bankrupt Firm’s SOX Liability But Recalculates Retaliatory Discharge Award,” BNA reports on the Labor Department’s holding in Kalkunte v. DVI Financial Services, Inc., ARB NO. 05-139 (February 27, 2009), where the Administrative Review Board (“ARB”) in a 2-1 decision, found substantial evidence to support a finding that Ms. Kalkunte’s […]

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Law360 writes about the recent Sarbanes-Oxley (“SOX”) decision issued by the Department of Labor’s Administrative Review Board (“ARB”) in Kalkunte v. DVI Financial Services, Inc.  According to the article, this decision is significant because it is the first SOX case to survive an appeal to the ARB.  In Kalkunte, the ARB affirmed an administrative law […]

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The National Law Journal writes about The Employment Law Group® law firm’s recent win before the U.S. Department of Labor’s Administrative Review Board (“ARB”) in an article titled, “Labor Department Expands Whistleblower Protections to a Company’s Contractors.”  The article discusses this seminal case, Kalkunte v. DVI Financial Services, Inc., in which the ARB held that Section […]

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The Employment Law Group® law firm is a contributing author of the 2009 annual update on the whistleblower retaliation provision of the Sarbanes-Oxley Act of 2002, a copy of which is available here. This annual update is a project of the ABA Section of Labor and Employment Law Committee on Federal Labor Standards Legislation Subcommittee on the […]

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On February 27, 2009, the United States Department of Labor’s Administrative Review Board (“ARB”) affirmed the Administrative Law Judge’s (“ALJ”) opinion in Kalkunte v. DVI Financial Services, Inc., where the ALJ held that a privately-held company acting as a contractor, subcontractor, or agent of a publicly traded company can be held liable for violation of […]

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Jason Zuckerman, a Principal at The Employment Law Group® law firm will speak at the Annual Whistleblower Symposium in Atlanta, GA.  The conference, which is scheduled to take place on March 4, 2009, will provide practical tips to employers and employees for successfully litigating whistleblower retaliation claims under the Sarbanes-Oxley Act.  To register for this […]

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Investment Advisor Week writes about Daniel Fisher’s lawsuit against Wells Fargo to compel the company to comply with the reinstatement order issued by DOL’s Occupational Safety and Health Administration (“OSHA”).  According to the article, a Wells Fargo Compliance Manger investigated Fisher’s allegations and concluded that a licensed banker at Wells Fargo was engaging in trading […]

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CCH reports about The Employment Law Group® client Daniel Fisher’s whistleblower lawsuit against Wells Fargo in an article titled, “Wells Fargo whistleblower sues to enforce DOL reinstatement order.”   In the article, CCH provides a background of Mr. Fisher’s whistleblower claim and the retaliation that he experienced for reporting alleged violations of Section 806 of the […]

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KLIV reports about Daniel Fisher’s whistleblower lawsuit against Wells Fargo in an article titled, “Local Financial Consultant Suing Wells Fargo Bank.”  The article describes the retaliation that Mr. Fisher suffered as a result of blowing the whistle on alleged violations of SEC rules, and the Department of Labor’s conclusion after a 22-month investigation that Wells […]

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Daniel Fisher has filed a lawsuit in the Northern District of California to enforce a U.S. Department of Labor Occupational Safety and Health Administration (OSHA) order requiring Wells Fargo to reinstate him to his former position at Wells Fargo’s Cupertino branch.   After conducting a thorough investigation of Mr. Fisher’s Sarbanes-Oxley whistleblower retaliation claim, OSHA issued […]

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In an appeal to the Fourth Circuit, The Employment Law Group® law firm argues that the district court erred in Stone v. Instrumentation Laboratory Spa, by improperly delegating its de novo review to the Department of Labor (”DOL”) in violation of the plain meaning and intent of the whistleblower provision of the Sarbanes-Oxley Act of 2002 […]

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The U.S. Department of Labor ordered Charles Schwab to reinstate two employees who allege they were terminated for blowing the whistle on a scheme to falsify entries in a Schwab database system.  OSHA investigated their claims under the whistleblower provision of the Sarbanes-Oxley Act of 2002 and is ordering Charles Schwab to reinstate the whistleblowers […]

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In Ellis v. CommScope, Inc. of North Carolina, a Texas district court judge rejected an employer’s attempt to impose a heightened pleading standard on SOX plaintiffs.  CommScope moved to dismiss on the grounds that Ellis did not plead scienter in alleging that he disclosed shareholder fraud.  The district court rejected CommScope’s “flawed” reasoning, holding that […]

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Senators Patrick Leahy (D-Vermont) and Charles Grassley (R-Iowa) sent a letter to the Department of Labor Secretary Elaine Chao expressing their disappointment with the Department’s overly restrictive interpretation of the whistleblower protection provisions of the Sarbanes-Oxley Act (“SOX”).  The letter pointed to a recent Wall Street Journal article reporting that approximately sixty-six percent of SOX […]

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In Andrews v. ING North America Insurance Corp., the Department of Labor’s Administrative Review Board (ARB) held that a subsidiary of a publicly-traded company can be a covered employer under the whistleblower provisions of the Sarbanes-Oxley Act (“SOX”) i.e., SOX coverage is not limited solely to direct employees of publicly traded companies.  Plaintiffs Andrews and Barron, […]

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A survey conducted by the University of Nebraska College of Law revealed that in 2007, only four percent of Sarbanes-Oxley (“SOX”) whistleblower cases heard by the Occupational Safety and Health Administration were resolved in favor of the employee seeking whistleblower protection.   Despite the discouraging statistics, the attorneys at The Employment Law Group® law firm continue […]

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