Michael J. Graham
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On August 8, 2014, the Second Circuit affirmed the dismissal of a SOX whistleblower retaliation claim brought by a former AECOM Technology Corp. (“Company”) employee, holding that he did not engage in protected activity because he lacked a reasonable belief that the alleged conduct of which he complained violated one of the enumerated federal provisions … Continue Reading
As recently reported by Ed Benson of Law 360, on July 4th, 2014, the United States Securities and Exchange Commission (the “SEC” or “Commission”) issued a final order that denied a whistleblower award claim on the $18 million that the SEC recovered in a settlement agreement with Harbinger Capital Partners LLC (“Harbinger”) and the company’s … Continue Reading
On June 27, 2014, the D.C. Circuit granted Kellogg Brown & Root’s (“KBR’s”) petition for a writ of mandamus and vacated a federal district court order requiring KBR to produce 89 documents related to an internal investigation. Relying on Upjohn Co. v. United States, 449 U.S. 383 (1981), the D.C. Circuit ruled that the documents … Continue Reading
According to its recent press release, OSHA issued a preliminary order requiring SpongeTech Delivery Systems, Inc. of New York (Company), a cleaning product company, to pay a complainant $31,835.33 in back wages based on its determination that she was retaliated against in violation of Section 806 of SOX. Complainant apparently reported fraudulent sales to Company … Continue Reading
On June 3, 2014, the SEC issued an order that awarded two whistleblowers $437,500 each pursuant to Rule 21F of the Securities Exchange Act. This Order marks the SEC’s first award of 2014, and eighth award since the program began in 2011.… Continue Reading
The NLRB Office of the General Counsel recently issued a memorandum stating that the NLRB entered into a “referral agreement” with OSHA, which requires OSHA to inform whistleblowers that certain untimely filed retaliation claims may be actionable and timely referred to the NLRB.… Continue Reading
As reported by Rachel Ensign of the Wall Street Journal, the Securities and Exchange Commission (“SEC”) recently denied a whistleblower-claimant a Commission enforcement action award where the claimant failed to file timely an award claim with the SEC’s Office of the Whistleblower.… Continue Reading
According to a news release from OSHA, OSHA recently ordered DISH Network (the “Company”) to pay a former employee over $257,000 in back wages and compensatory damages, plus reasonable attorneys’ fees, and to expunge his employment record after it determined that the Company violated Section 806 of SOX.… Continue Reading
The ARB recently affirmed an ALJ’s decision that American Commercial Lines Inc. (the “Company”) did not violate the whistleblower protection provision in Section 806 of SOX where the Company demonstrated by clear and convincing evidence that its decision to discharge employee Angelina Zinn, who was an in-house attorney, was based on her insubordination. Zinn v. … Continue Reading
The SEC’s whistleblower program has received tremendous attention, but let’s not forget about the Commodity Futures Trading Commission’s (CFTC) whistleblower program, which also was created by Dodd-Frank (here are the applicable rules). A recent article from the Risk & Compliance Journal of the Wall Street Journal provides valuable insight into how this program is functioning with … Continue Reading
Earlier this month, the U.S. Department of Labor (DoL) settled a whistleblower claim brought by Robert Whitmore, a former DoL recordkeeping official, for $820,000. Mr. Whitmore alleged that he complained that the DoL failed to adequately monitor and enforce its record-keeping requirements—thereby affording employers the opportunity to under-report on-the-job injuries and illnesses—and was discharged as … Continue Reading
On May 15, 2013, OSHA determined that Enercon Services Inc. (Company), an engineering firm that provides nuclear power facilities with engineering support services, violated the whistleblower provisions of the Energy Reorganization Act (ERA). OSHA Regional News Release, 13-822-KAN (May 20, 2013). As a result, it ordered reinstatement and a host of other severe penalties. The … Continue Reading
In what might be an unsettling trend for employers, juries in Philadelphia and Anchorage have recently issued multi-million dollar jury awards in favor of whistleblowers. Specifically, on March 22, 2013, a Philadelphia Common Pleas Court jury awarded Plaintiff-whistleblower Marla Pietrowski $1.7 million for her claims under the New Jersey Conscientious Employee Protection Act, and Ms. … Continue Reading
On February 28, 2013, OSHA ordered Union Pacific Railroad (UP) to reinstate the employment of and pay over $309,000 ($150,000 in punitive damages, $87,600 in compensatory damages, $71,700 in back pay with interest, plus attorney’s fees) to a locomotive conductor who alleged he was discharged for reporting a co-worker’s on-the-job injury. OSHA Regional News Release, … Continue Reading
On January 28, 2013, in a letter to the Internal Revenue Service (IRS) and the U.S. Department of Treasury (Treasury), Senator Charles Grassley (R-IA), co-author of the 2006 updates to Section 7623 of the Internal Revenue Code (IRC), criticized the IRS Whistleblower Program (WBP) and WBP regulations that were presented in the agency’s December 14, … Continue Reading
On February 13, 2013, the IRS issued its “Fiscal Year 2012 Report to the Congress on the Use of Section 7623,” as required by The Tax Relief and Health Care Act of 2006 (Act). The Act was established “to encourage people with knowledge of significant tax noncompliance to provide that information to the IRS.” The IRS … Continue Reading
On January 18, 2013, the Securities and Exchange Commission’s (SEC) Office of Inspector General (OIG) released its report titled Evaluation of the SEC’s Whistleblower Program. The report presented a largely positive review of the SEC Office of the Whistleblower (OWB), and contained two recommendations to strengthen enforcement. (Our recent post discussing the functioning and results … Continue Reading
On January 8, 2013, the U.S. Supreme Court was petitioned to rule on whether employees must file a new or amended charge to pursue an employment retaliation claim arising from an initial Title VII discrimination charge. If the Court grants certiorari, we’re likely to see the resolution of a decade-long circuit split created by the … Continue Reading
The Sixth Circuit recently held that Michigan state employees could base First Amendment political-affiliation and protected-speech retaliation claims on their perceived political affiliations, even absent actual affiliations with the party in question. Dye v. Office of the Racing Comm’n, No. 11-cv-1828 (6th Cir. Dec. 18, 2012). It’s important for government and private employers alike to … Continue Reading
Second Circuit Strays From “Definitively and Specifically” Standard But Still Dismisses SOX Claim
By Steven J. Pearlman, Harris Mufson and Michael J. Graham on Posted in SOX Whistleblower Decisions
SEC Denies Whistleblower Award Claim for Harbinger-Falcone Recovery
By Lloyd B. Chinn and Michael J. Graham on Posted in SEC
DC Circuit Rejects Narrow View Of Attorney-Client Privilege In Internal Company Investigations
By Connie Bertram, Daniel Davis and Michael J. Graham on Posted in False Claims Act
OSHA Orders Company to Pay SOX Whistleblower Back Wages
By Steven J. Pearlman and Michael J. Graham on Posted in OSHA Administration
First SEC Whistleblower Bounty Award of 2014
By Steven J. Pearlman and Michael J. Graham on Posted in Dodd Frank, SEC
Another Bite At the Apple? OSHA to Notify Untimely OSH Act Whistleblowers of Potential NLRB Claims
By Steven J. Pearlman and Michael J. Graham on Posted in OSHA Administration
SEC Denies Enforcement Action Award for Failure to Timely File Claim; Narrowly Defines “Extraordinary Circumstances” Exception
By Lloyd B. Chinn and Michael J. Graham on Posted in SEC
OSHA Issues Substantial Award To SOX Whistleblower Claiming “Blacklisting”
By Steven J. Pearlman, Harris Mufson and Michael J. Graham on Posted in OSHA Administration
ARB: No SOX Whistleblower Liability Where Termination Of In-House Counsel Was Based On Insubordination
By Steven J. Pearlman and Michael J. Graham on Posted in SOX Whistleblower Decisions
What’s The State Of The CFTC Whistleblower Program?
By Steven J. Pearlman and Michael J. Graham on Posted in Dodd Frank
DoL (Yes, The DoL!) Pays Big Settlement In Whistleblower Case
By Steven J. Pearlman and Michael J. Graham on Posted in Uncategorized
OSHA Reinstates ERA Whistleblower And Issues Daunting Preliminary Order
By Steven J. Pearlman, Harris Mufson and Michael J. Graham on Posted in OSHA Administration
Recent Multi-Million Dollar Whistleblower Jury Awards — A Wake-Up Call For Employers
By Steven J. Pearlman, Harris Mufson, Michael J. Graham and Rachel Fischer on Posted in State-Specific Whistleblower Claims
OSHA Penalizes Another Railroad Company In Whistleblower Action
By Michael J. Graham and Steven J. Pearlman on Posted in OSHA Administration
Senator Grassley’s Harsh Criticisms Of IRS Whistleblower Program Implementation
By Michael J. Graham, Steven J. Pearlman and Harris Mufson on Posted in IRS Whistleblower Program
IRS Whistleblower Program: Payouts Rise in 2012
By Michael J. Graham, Steven J. Pearlman and Harris Mufson on Posted in IRS Whistleblower Program
OIG Report On SEC Whistleblower Program: Praise, Suggestions & Conclusion That Private Right Of Action Would Be Premature
By Steven J. Pearlman and Michael J. Graham on Posted in SEC
Supreme Court Asked To Decide If Retaliation Claims Require New Administrative Charge
By Michael J. Graham and Steven J. Pearlman on Posted in EEOC
Political Affiliation & Protected Speech Retaliation – Sixth Circuit Widens Circuit Split
By Michael J. Graham and Steven J. Pearlman on Posted in Associational Retaliation
