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Corporate Counsel › Reporting Requirements › Sarbanes-Oxley

Conn Maciel Carey LLP

Common Questions in Evaluating a Whistleblower Complaint Filed with OSHA

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In FY 2023, the Occupational Safety and Health Administration (“OSHA”) received 3,243 Whistleblower complaints filed under various statutes’ anti-retaliation provisions. OSHA is charged with investigating alleged retaliation...more

Holland & Knight LLP

SEC Commissioner Signals Renewed Vigor for Up-the-Ladder Rule and Corporate Attorney Regulation

Holland & Knight LLP on

Now, nearly 20 years after Congress passed the Sarbanes-Oxley Act, the congressional mandate to promulgate and enforce rules for corporate attorneys has gone largely unfulfilled. But all that may change. A recent speech by...more

Polsinelli

SDNY Rejects Director Liability for Sarbanes-Oxley Whistleblower Claims, Creating a Split Among Federal District Courts

Polsinelli on

Public company directors, who are under constant threat of claims, received welcome news earlier this month.  On December 9, 2019, the U.S. District Court for the Southern District of New York ruled that corporate directors...more

Fenwick & West LLP

SCOTUS Narrows Dodd-Frank Whistleblower Protections, May Trigger Increased Reports to the SEC

Fenwick & West LLP on

In a unanimous ruling in Digital Realty Trust v. Somers, the U.S. Supreme Court has narrowed whistleblower protections in the Dodd-Frank Act that shield employees who report potential securities law violations. As a result,...more

Proskauer - Whistleblower Defense

Maryland District Court Dismisses SOX and Dodd Frank Whistleblower Claims

Proskauer - Whistleblower Defense on

On March 1, 2017, the District of Maryland dismissed a Dodd Frank whistleblower retaliation claim because the plaintiff failed to allege that he had complained directly to the SEC about a violation of securities laws, and...more

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