Brett Schwab
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On May 29, 2018, the U.S. District Court for the Northern District of Alabama granted a motion to dismiss in part Plaintiff’s whistleblower retaliation claims under SOX on the grounds that the Plaintiff failed to exhaust his administrative remedies against the Defendant CEO. Wingo v. S. Co., 17-cv-01328. Background. Plaintiff, a Project Manager, informed his … Continue Reading
On April 19, 2018, the United States District Court for the District of New Jersey held that providing testimony to FINRA (which is overseen by the SEC) does not constitute protected activity for purposes of establishing a Dodd-Frank whistleblower claim. Price v. UBS Financial Services, Inc., No. 2:17-01882. Background. Plaintiff, a former UBS Private Wealth … Continue Reading
On February 12, 2018, the United States District Court for the Northern District of Mississippi recently denied a motion for summary judgment in a SOX whistleblower claim where the defendant company alleged that it terminated the plaintiff pursuant to a reduction-in-force (RIF). Hendrick v. ITT Engineered Valves, LLC, No. 16-cv-204. Background. Plaintiff began working as … Continue Reading
The U.S. District Court for the District of Maryland recently denied a motion for summary judgment in a whistleblower retaliation claim under the Consumer Financial Protection Act of 2010 (CFPA), Section 1057 of Dodd-Frank, which was brought by an ex-foreclosure attorney, finding there were issues of material fact as to, among other things, the basis … Continue Reading
The U.S. District Court for the Eastern District of Virginia recently granted a Rule 12(b)(6) motion to dismiss a Dodd-Frank whistleblower retaliation claim brought by an ex-project manager, finding that Plaintiff failed to allege that her protected activity involved any disclosures to the SEC. Smith v. Raytheon Co., No. 17-cv-00438 (E.D. Va. Aug. 11, 2017).… Continue Reading
The Southern District of New York recently dismissed Dodd-Frank whistleblower retaliation claims brought by an employer’s ex-President and an ex-Director pursuant to Rule 12(b)(6) on res judicata grounds, determining that retaliation claims had already been decided in arbitration and that the Dodd-Frank claims filed in federal court for the first time were therefore barred. Wendt v. … Continue Reading
On July 25, 2017, the Third Circuit allowed a plaintiff who was an in-house attorney to proceed with a whistleblower retaliation lawsuit under the New Jersey Conscientious Employee Protection Act (CEPA) based on its conclusion that CEPA protects attorneys from being discharged for refusing to violate Rules of Professional Conduct. Trzaska v. L’Oreal USA, Inc., … Continue Reading
On July 6, 2017, the U.S. District Court for the Eastern District of Pennsylvania dismissed a whistleblower claim after determining that the plaintiff did not qualify as a whistleblower under the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”). Reyher v. Grant Thornton, LLP, No. 16-1757 (E.D. Pa. July 6, 2017). Background The plaintiff, … Continue Reading
Alabama Federal Court Partially Grants Motion to Dismiss SOX Claim On Exhaustion Grounds
By Brett Schwab and Steven J. Pearlman on Posted in SOX Whistleblower Decisions
Federal Court Rules That Providing Testimony to FINRA Is Not Protected Activity Under Dodd-Frank
By Harris Mufson and Brett Schwab on Posted in Dodd Frank
Mississippi Federal Court Denies Summary Judgment on SOX Whistleblower Claim
By Steven J. Pearlman and Brett Schwab on Posted in SOX Whistleblower Decisions, State-Specific Whistleblower Claims
Maryland District Court Denies Summary Judgment on CFPA Whistleblower Claim
By Steven J. Pearlman and Brett Schwab on Posted in Dodd Frank
E.D. Virginia Tosses Dodd-Frank Whistleblower Claim for Lack of SEC Complaint
By Steven J. Pearlman and Brett Schwab on Posted in Dodd Frank, SEC, State-Specific Whistleblower Claims
S.D.N.Y. Dismisses Dodd-Frank Whistleblower Claim Because Retaliation Claims Were Already Arbitrated
By Steven J. Pearlman and Brett Schwab on Posted in Dodd Frank
Third Circuit Revives In-House Attorney’s Whistleblower Claim
By Steven J. Pearlman and Brett Schwab on Posted in State-Specific Whistleblower Claims
E.D. Pennsylvania Dismisses Dodd-Frank Whistleblower Claim After Plaintiff Fails to Qualify as a Whistleblower
By Lloyd B. Chinn, Harris Mufson and Brett Schwab on Posted in Dodd Frank
