Marissa A. Mastroianni
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On October 17, 2017, the Tenth Circuit overturned the ARB’s decision in favor of complainant for want of protected activity under SOX. Dietz v. Cypress Semiconductor Corp., No. 16-9529 (Oct. 17, 2017). This decision rolled back the ARB’s expansive determination that a company violated federal mail and wire fraud laws by implementing a mandatory bonus … Continue Reading
The Southern District of Florida recently denied a Rule 12(b)(6) motion to dismiss a former employee’s Sarbanes-Oxley and Dodd-Frank whistleblower retaliation claims, finding that the plaintiff sufficiently alleged that she had an objectively reasonable belief regarding alleged securities violations. Thomas v. Tyco Int’l Mgmt. Co., LLC, No. 16-cv-80501 (Mar. 31, 2017). This case is noteworthy … Continue Reading
The Northern District of New York recently denied a Rule 12(b)(6) motion to dismiss a former employee’s Dodd-Frank whistleblower retaliation claim, finding that the plaintiff sufficiently alleged that he had an objectively reasonable belief with respect to alleged securities violations and causation. McManus v. Tetra Tech Construction, Inc., No. 16-cv-894 (May 11, 2017).… Continue Reading
On January 13, 2017, the Sixth Circuit in Verble v. Morgan Stanley Smith Barney, LLC, declined an opportunity to be the third federal appellate court to address the definition of “whistleblower” under Dodd Frank’s anti-retaliation provision.… Continue Reading
The Securities and Exchange Commission’s Office of the Whistleblower recently released its sixth Annual Report on the Dodd-Frank Whistleblower Program to Congress, which details information on the SEC’s activities and bounty payouts. The report covers the SEC’s 2016 fiscal year, which ran from October 1, 2015 to September 30, 2016.… Continue Reading
In less than one week, the SEC issued two whistleblower awards totaling over $4.4 million. On December 5, 2016, the SEC issued a whistleblower award of approximately $3.5 million. Several days later, on December 9, 2016, the SEC issued another whistleblower award of more than $900,000.… Continue Reading
Tenth Circuit Vacates ARB Whistleblower Decision
By Steven J. Pearlman and Marissa A. Mastroianni on Posted in DOL Decisions, SOX Whistleblower Decisions
S.D. Fla. Refuses To Dismiss SOX and Dodd-Frank Whistleblower Claims
By Steven J. Pearlman and Marissa A. Mastroianni on Posted in Dodd Frank, SEC, SOX Whistleblower Decisions
N.D.N.Y. Refuses to Dismiss Dodd-Frank Whistleblower Claim
By Steven J. Pearlman and Marissa A. Mastroianni on Posted in Dodd Frank
Sixth Circuit Declines to Address the Definition of Dodd Frank “Whistleblower”
By Harris Mufson and Marissa A. Mastroianni on Posted in Dodd Frank
Highlights of SEC’s 2016 Annual Whistleblower Report
By Harris Mufson and Marissa A. Mastroianni on Posted in SEC
SEC Issues Two Large Whistleblower Awards
By Harris Mufson and Marissa A. Mastroianni on Posted in SEC
