Scott Tan
Scott Tan is a law clerk in the Labor & Employment Law Department and a member of the Employment Litigation & Arbitration Group.
Scott earned his J.D. from the UCLA School of Law, where he served as a problem developer and member of the Moot Court Honors Board. He also worked as a research assistant for Dean Jennifer Mnookin and Professor Hiroshi Motomura.
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On November 17, 2021, the U.S. District Court for the Southern District of New York held that a company and its CEO violated Rule 21F-17 of the Exchange Act by entering into confidentiality agreements with investors that prohibited communications with the SEC, and subsequently attempting to enforce those agreements. SEC v. Collectors Coffee Inc., No. … Continue Reading
On November 17, 2021, the EEOC updated its technical guidance on COVID-19 and anti-discrimination with a new anti-retaliation section. The new section largely restates existing statutory anti-retaliation protections in the context of COVID-19. The guidance provides several examples of COVID-related protected activity, which include filing a charge with the EEOC alleging that an employer has … Continue Reading
On June 23, 2021, the SEC announced that Guggenheim Securities, LLC (“Company”) agreed to settle charges that it violated Rule 21F-17 by including language in its compliance manual and training materials that allegedly prohibited employees from contacting regulators without prior Company approval. Without admitting or denying the findings in the SEC’s order, the Company consented … Continue Reading
On June 21, 2021, OSHA’s much-anticipated Emergency Temporary Standard (“ETS”) on COVID-19 protections went into effect. While Proskauer’s Law and the Workplace blog covered the ETS in detail here, this post focuses on the anti-retaliation provision in the ETS. Anti-Retaliation Provision The ETS, which applies only to the health-care sector, contains an anti-retaliation provision prohibiting … Continue Reading
On March 22, 2021, the Seventh Circuit affirmed a decision by the ARB dismissing a whistleblower retaliation complaint under SOX for failure to file within the 180-day statutory deadline. Xanthopoulos v. U.S. Department of Labor, No. 20-2604. The court rejected the plaintiff’s equitable tolling arguments. Background Plaintiff was an employee of an investment company, and … Continue Reading
On January 13, 2021, a New York whistleblower attorney filed a lawsuit in the U.S. District Court for the District of Columbia challenging a recent final rule adopted by the Securities and Exchange Commission (the “Commission or “SEC”) which made several changes to the SEC’s whistleblower program. The SEC Final Rule The final rule was … Continue Reading
The Commodity Futures Trading Commission (“CFTC”) recently released its 2020 Annual Report on the status of its whistleblower program for the fiscal year ending on September 30, 2020. The report, prepared by the CFTC’s Whistleblower Office (“WBO”), contains statistics on the tips received and awards granted during the previous fiscal year, describes the WBO’s recent … Continue Reading
On September 23, 2020, by a vote of 3 to 2, the U.S. Securities and Exchange Commission announced the adoption of a final rule implementing several changes to its whistleblower program, citing the need to “provide greater clarity to whistleblowers and increase the program’s efficiency and transparency.” The following addresses the key provisions of the … Continue Reading
On July 16, 2020, the Third Circuit affirmed the dismissal of a former IT analyst’s whistleblower retaliation claim, holding that he lacked an objectively reasonable belief that his complaints implicated one of the enumerated forms of fraud in the SOX whistleblower provision. Reilly v. GlaxoSmithKline, LLC, No. 19-cv-2897. Background Plaintiff was an IT analyst for … Continue Reading
On June 29, 2020, the Administrative Review Board (“ARB”) upheld the dismissal of a whistleblower retaliation complaint under Section 806 of the Sarbanes-Oxley Act (“SOX”) for failure to file within the 180-day statutory deadline. Xanthopoulos v. Marsh & McLennan Companies, Inc., ARB Case No. 2019-0045 (June 29, 2020). Background Complainant was an employee of Mercer … Continue Reading
On June 9, 2020, the U.S. Commodity Futures Trading Commission (CFTC) announced a $6 million whistleblower award to an individual under its Dodd-Frank whistleblower program. The individual was rewarded for voluntarily providing specific, credible, and timely information that led the CFTC to bring a successful enforcement action. The Director of the Whistleblower Office, Christopher Ehrman, … Continue Reading
On February 28, 2020, the U.S. District Court for the Southern District of New York dismissed a former chief marketing officer’s claim of whistleblower retaliation under the Dodd Frank Act. Cellucci v. O’Leary No. 19-cv-02752 (S.D.N.Y. 2020). Background Plaintiff is one of several former chief executives of a closely-held infrastructure technology company who were terminated. … Continue Reading
On December 9, 2019, the U.S. District Court for the Southern District of New York ruled that, as a matter of law, directors cannot be held liable under the anti-retaliation provisions of the Sarbanes-Oxley Act. Zornoza v. Terraform Global Inc., No. 18-cv-11617. Background Plaintiff is the former President and CEO of the defendant companies which … Continue Reading
The Commodity Futures Trading Commission (“CFTC”) recently released its statutorily mandated 2019 Annual Report covering the fiscal year ending on September 30, 2019. The report, prepared by the CFTC’s Whistleblower Office (“WBO”), outlines the tips received and awards granted during the fiscal year, and describes the status of the WBO’s initiatives to educate consumers about … Continue Reading
SDNY: Confidentiality Agreement Impeded Investors from Whistleblowing
By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in Rule 21F-17, SEC
EEOC Updates COVID-19 Guidance with Anti-Retaliation Section
By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in Best Practices, EEOC
SEC Alleges Employer’s Compliance Manual Violates Rule 21F-17
By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in Rule 21F-17, SEC
OSHA’s COVID-19 Emergency Temporary Standard Contains Anti-Retaliation Provision
By Lloyd B. Chinn, Pinchos Goldberg and Scott Tan on Posted in OSHA Administration
7th Circuit Affirms Denial of Equitable Tolling of Statute of Limitations Under SOX
By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in SOX Whistleblower Decisions
Whistleblower Attorney Challenges SEC Final Rule Changing Its Whistleblower Program
By Lloyd B. Chinn, Pinchos Goldberg and Scott Tan on Posted in SEC
CFTC Releases 2020 Annual Report on its Whistleblower Program
By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in CFTC
SEC Amends Whistleblower Program Rules
By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in SEC
Third Circuit Confirms Limits on Scope of Protected Activity Under SOX
By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in SOX Whistleblower Decisions
ARB Denies Equitable Tolling of 180-Day Statute of Limitations Under SOX
By Lloyd B. Chinn, Pinchos Goldberg and Scott Tan on Posted in Dodd Frank, Key ARB Decisions
CFTC Issues $6 Million Whistleblower Award
SDNY Dismisses Dodd-Frank Whistleblower Claim for Lack of Protected Activity and Causation
By Harris Mufson, Pinchos Goldberg and Scott Tan on Posted in Dodd Frank
SDNY: Directors Not Liable For Whistleblower Claims Under SOX
By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in SOX Whistleblower Decisions
CFTC Releases FY 2019 Annual Report
By Lloyd B. Chinn, Pinchos Goldberg and Scott Tan on Posted in CFTC
