Christopher Bouriat
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On June 22, 2016, Judge Daniels of the Southern District of New York dismissed SOX and Dodd-Frank whistleblower claims, ruling that Plaintiff’s alleged internal complaints did not constitute protected activity, as they did not implicate securities laws, mail fraud, or wire fraud. Diaz v. Transatlantic Reinsurance Co., No. 16-cv-1355.… Continue Reading
On June 6, 2016, the Eighth Circuit affirmed the Minnesota District Court’s grant of summary judgment on SOX and Dodd-Frank whistleblower retaliation claims based on the plaintiff’s failure to establish a reasonable belief that the defendant employer engaged in fraud on shareholders.… Continue Reading
On May 31, 2016, the U.S. Securities and Exchange Commission (“SEC”) issued an order upholding the SEC Claims Review Staff’s (“CRS”) Preliminary Determination denying a claim for a whistleblower award in connection with the enforcement action SEC v. CVS Caremark Corp. Notice of Covered Action 2014-48 (“Covered Action”). This order provides insight into a whistleblower … Continue Reading
S.D.N.Y. Dismisses SOX and Dodd-Frank Whistleblower Claims For Lack Of Protected Activity
By Steven J. Pearlman and Christopher Bouriat on Posted in Dodd Frank, SOX Whistleblower Decisions
Eighth Circuit Deals Significant Blow To SOX And Dodd-Frank Whistleblowers
By Steven J. Pearlman and Christopher Bouriat on Posted in Dodd Frank, SOX Whistleblower Decisions
No Bounty For Purported Whistleblower Tipster
By Lloyd B. Chinn and Christopher Bouriat on Posted in Dodd Frank, SEC
