Bassam Gergi
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On June 28, 2018, the U.S. Securities and Exchange Commission (“SEC” or “Commission”) voted in an open meeting on several final rules and rule proposals that will have a material impact on the Commission’s whistleblower program. Most notably, the SEC approved a rule proposal that would modify its Rule 21F, which defines who is a … Continue Reading
On February 22, 2018, the Tenth Circuit Court of Appeals reversed a district court’s grant of summary judgment against Plaintiff who claimed that his employment was terminated in violation of the SOX whistleblower protection provision. The court concluded that genuine issues of material fact existed as to whether Plaintiff actually believed that the complained-of conduct … Continue Reading
Last week, the Seventh Circuit Court of Appeals held that a terminated CEO’s complaints about his board of directors’ managerial decisions did not qualify as protected whistleblowing under the Sarbanes-Oxley Act of 2002 (“SOX”) nor under the Dodd-Frank Act of 2010 (“DFA”). Verfuerth v. Orion Energy Sys., Inc., No. 16-3502, 2018 WL 359814 (7th Cir. … Continue Reading
SEC Votes in Favor of Proposal to Amend Whistleblower Rules to Comport with U.S. Supreme Court’s Holding in Digital Realty Trust
By Lloyd B. Chinn and Bassam Gergi on Posted in Dodd Frank, SEC
Tenth Circuit Reverses Grant of Summary Judgment on SOX Whistleblower Claim
By Steven J. Pearlman and Bassam Gergi on Posted in SOX Whistleblower Decisions
Seventh Circuit Affirms Grant of Summary Judgment on Terminated CEO’s SOX And DFA Claims
By Lloyd B. Chinn, Harris Mufson and Bassam Gergi on Posted in Dodd Frank, SEC, SOX Whistleblower Decisions
