Compliance into the Weeds - SOX Compliance, PCAOB Inspections and Audits
Compliance into the Weeds-Episode 57-SOX Reform or Not?
Compliance into the Weeds-Episode 51, the PCAOB and Compliance
Compliance into the Weeds-Espiode 47
Everything Compliance-Episode 12
Day 5 of One Month to Better Investigations and Reporting-the Board’s Investigation Protocol
Compliance into the Weeds-Episode 30-SOX 404(b)
FCPA Compliance and Ethics Report-Episode 145-SEC Enforcement of the FCPA, Part II
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
In Jefferson v. Science Apps. Int’l Corp., et al.,[1] the U.S. District Court for the District of Columbia dismissed the plaintiff’s whistleblower retaliation claim brought under Section 806 of the Sarbanes-Oxley Act (“SOX”...more
On March 25, 2025, in Smith v. Coupang,[1] the United States District Court for the Western District of Washington denied Coupang, Inc.’s motion to dismiss its former employee’s SOX and state law whistleblower claims despite...more
Second Circuit holds employees get disability accommodations even if not necessary to perform their job - In Tudor v. Whitehall Central School District, the Second Circuit Court of Appeals vacated a lower court’s grant of...more
Arizona employer cannot exclude settlement communications from former employee’s retaliation complaint - In Flores v. Rafi Law Group PLLC, the plaintiff accused her law firm employer of retaliating against her by (i)...more
Following our annual tradition — which started over a decade ago — we are analyzing the year's 10 most significant whistleblower and retaliation events. As you'll see, in 2024, actions taken by a range of courts and...more
Foster better organizational transparency with insights into whistleblowing regulations and safeguards across the globe. Whistleblowers act as vigilant public advocates, exposing fraud and abuse. According to the...more
The Ninth Circuit’s recent decision in Parker v. BNSF Railway Company, 112 F.4th 687 (9th Cir. 2024) underscores the burden faced by employers in defending against whistleblower retaliation claims assessed under the...more
We’ve talked before about how speak-up culture is on the rise; 6,000 more anonymous hotline reports were filed in 2023 than 2022, according to the respondent of Mitratech’s 2024 State of Ethics Reporting Hotlines....more
The Supreme Court issued several momentous decisions last term that will have a lasting impact on employer practices. The Justices continued to shape the workplace law landscape by ruling on an array of issues involving...more
CFTC charges employer with failing to include whistleblower carveout in agreements with employees - Commodities trading firm Trafigura Trading LLC agreed to pay a $55 million fine to settle charges from the Commodity...more
The U.S. Supreme Court recently held that proving an employer’s retaliatory intent is not required for whistleblowers seeking protection under the Sarbanes-Oxley Act. In Murray v. UBS Securities, LLC, 144 S. Ct. 445 (2024),...more
As seen in the previous article, whistleblowing cases regularly make the news headlines. And while some of the names of the reporters or the cases are well known, it’s worthwhile to take a closer look at the people behind the...more
The Sarbanes-Oxley Act of 2002, also referred to as SOX or as Sarbox, is a federal statute that requires specific corporate recordkeeping measures as well as financial reporting. It was passed in the aftermath of several huge...more
The U.S. Securities and Exchange Commission’s (SEC) Whistleblower Program was created in Section 922 of the Dodd-Frank Act of 2010, which amended the Securities Exchange Act to include a whistleblower provision. It has since...more
On March 1, 2024, the Second Circuit affirmed the judgment of the Southern District of New York in Brian La Belle v. Barclays Capital Inc, No. 23-448 (2d Cir. 2024)....more
New York State and New York City Human Rights Laws May Protect Out-of-State Applicants - On March 14, the New York Court of Appeals held that out-of-state applicants who seek employment within the State or the City can...more
Daramola v. Oracle Am., Inc., 92 F.4th 833 (9th Cir. 2024) - Tayo Daramola is a Canadian citizen who resided in Montreal at all relevant times and who worked for Oracle Canada, a wholly owned subsidiary of Oracle...more
In this issue of Employment Flash: the new DOL rule on independent contractors, SCOTUS’s unanimous Sarbanes-Oxley whistleblower ruling, plus labor law developments in California, Delaware, D.C., New York, the EU, Germany and...more
The Sarbanes-Oxley Act (“Act” or ”SOX”) shields whistleblowers from retaliation for reporting any wrongdoing by publicly traded companies. Recently, in Murray v. UBS Securities, LLC, the U.S. Supreme Court evaluated the...more
This Littler Lightbulb highlights some of the more significant employment law developments at the U.S. Supreme Court and federal courts of appeal in the last month....more
In a victory for whistleblowers, a unanimous US Supreme Court has held that a whistleblower invoking the Sarbanes-Oxley Act of 2002, 18 U.S.C. §1514A(a) (SOX) is not required to prove that his or her employer acted with...more
In Murray v. UBS Securities, LLC the United States Supreme Court resolved a circuit split, holding that whistleblowers asserting retaliation claims under Sarbanes-Oxley must prove protected activity was a contributing factor...more
Earlier this month, the Supreme Court unanimously reversed the Second Circuit’s decision in Murray v. UBS and resolved a circuit split in favor of employees, holding that although intent is an element of a Sarbanes-Oxley...more
Recently, the Supreme Court of the United States issued a decision in Murray v. UBS Securities, LLC holding that whistleblowers are not required to prove their employer acted with “retaliatory intent” to be protected under...more