On October 23, 2015, the U.S. District Court for the Northern District of California largely denied a motion to dismiss a whistleblower retaliation claim brought by a company’s former general counsel, ruling that: (i) the Sarbanes-Oxley Act (“SOX”) and Dodd-Frank anti-retaliation provisions provide for individual liability against board members; and (ii) the Dodd-Frank anti-retaliation provision … Continue Reading
Lawson v. FMR LLC, 571 U.S. ___, 134 S. Ct. 1158 (2014) Plaintiffs in this case are former employees of private companies that contract to advise or manage mutual funds (collectively, “FMR”). Both plaintiffs allege that they “blew the whistle” on putative fraud relating to the mutual funds and as a result suffered retaliation from … Continue Reading
Coppinger-Martin v. Solis, 627 F.3d 745 (2010) Carole Coppinger-Martin alleged that Nordstrom, Inc. violated the whistle-blower-protection provision of the Sarbanes-Oxley Act of 2002 (“SOX”), 18 U.S.C. § 1514A, by terminating her employment in retaliation for her reporting to supervisors conduct she believed violated the rules and regulations of the SEC. The United States Department of … Continue Reading
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