Category Archives: SOX

Fifth Circuit Says Dodd-Frank’s Anti-Retaliation Provision Only Covers Employees Who Provide Information To the SEC — Rejecting Many Other Cases To the Contrary

The Fifth Circuit issued a decision on July 17, 2013, that limits Dodd-Frank’s anti-retalition provision’s coverage to employees who provide information to the SEC. In doing so, it rejected numerous other court decisions that held to the contrary. By way … Continue reading

Posted in Dodd Frank, Houston Retaliation Law, Retaliation, SOX, Whistleblower

Dodd Frank’s Revisions To SOX (Part 3)

This is our last post today on Dodd Frank’s revisions to SOX. In addition to the other posts we released today, section 922(c) of Dodd-Frank declared void any “agreement, policy form, or condition of employment, including a predispute arbitration agreement” … Continue reading

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Dodd Frank’s Revisions To SOX (Part 2)

Today we are posting on Dodd Frank’s revisions to SOX. This post addresses the statute of limitations. Section 922(c) increased the statute of limitations for SOX whistleblower claims from 90 to 180 days and clarified that SOX retaliation plaintiffs can … Continue reading

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Dodd Frank’s Revisions To SOX (Part I)

Our video today discusses Dodd Frank’s revisions to SOX, a topic that our paper covers, as well. SOX’s Coverage Of Private Subsidiaries Of Publicly Traded Companies Whose Financial Information Is Included In Consolidated Financial Statements Courts That Have Applied This … Continue reading

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Other Recent Significant SOX Decisions (Part IV)

We continue today with our series of posts on important SOX decisions. The ARB Holds That SOX Section 806 Has No Extraterritorial Application The ARB ruled in a 3-2 en banc decision that Section 806 of SOX has no extraterritorial … Continue reading

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Other Recent Significant SOX Decisions (Part III)

We continue with our series of posts on recent SOX decisions. The Ninth Circuit Holds That SOX Does Not Protect Reports Of Alleged Corporate Fraud To The Media In Tides v. Boeing Co., 644 F.3d 809, 815 (9th Cir. 2011), … Continue reading

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Other Recent Significant SOX Decisions (Part II)

We continue our series of posts on recent significant SOX decisions. The ARB Rules That An Employee’s Misappropriation Of Confidential Information May Qualify As Protected Activity Under SOX In Vannoy v. Celanese Corp., No. 09-1118, 2011 WL 4690624 (ARB Sept. … Continue reading

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Other Recent Significant SOX Decisions (Part I)

The video we released earlier today discussed a recent significant SOX decision. Mark’s paper discusses many such cases. Today’s posts will also look at those cases. The ARB Rules That Employer Breaches Of SOX-Mandated Confidentiality May Themselves Give Rise To … Continue reading

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What Damages Are Available Under SOX

Our paper also discusses what types of damages are available in SOX retaliation cases. Courts Hold SOX Does Not Provide For Mental Anguish Damages An employee prevailing on a claim brought under Section 1514A shall be entitled to “all relief … Continue reading

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Is SOX Limited To Public Companies

Today we released a video discussing whether SOX is limited to securities fraud. We discussed the split of authority on the issue. Another question is whether SOX Coverage is limited to employees of public companies. We discuss this in our … Continue reading

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