Category Archives: Whistleblower

Fifth Circuit Holds That Employees Interviewed As Part Of A Sexual Harassment Investigation Have Greater Protection From Retaliation

Mark Oberti writes: Recently, the U.S. Court of Appeals for the Fifth Circuit, which covers Texas, Mississippi, and Louisiana, affirmed that an employee interviewed as part of a company’s internal investigation into sex harassment complaints is protected from retaliation under … Continue reading

Posted in Discrimination, EEOC, Houston Employment Law, Houston Retaliation Law, Retaliation, Whistleblower

Confidentiality Agreements Used By Many Employers Draw KBR A $130,000.00 Fine From The SEC — Is Your Company At Risk Too?

Mark Oberti writes: On April 1, 2015, the SEC took action against — including a $130,000.00 fine — a company over concerns that the company was preventing its employees from potentially blowing the whistle on illegal activity. The action is … Continue reading

Posted in Dodd Frank, Whistleblower

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

Other Non-Sox Anti-Retaliation Laws Created Or Strengthened By Dodd Frank (Part III)

Amendment Of The False Claims Act The False Claims Act (“FCA”) is a whistleblower law that allows a private individual with knowledge of past or present fraud committed on the federal government to sue on the government’s behalf and recover … Continue reading

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Other Non-Sox Anti-Retaliation Laws Created Or Strengthened By Dodd Frank (Part II)

Amendment Of The Commodity Exchange Act Section 748 amends the Commodity Exchange Act to create a whistleblower incentive program and whistleblower protection provision that are substantially similar to the SEC reward program and anti-retaliation provision contained in section 922. Under … Continue reading

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Other Non-Sox Anti-Retaliation Laws Created Or Strengthened By Dodd Frank (Part I)

Private Cause Of Action For Retaliation Under Dodd-Frank Section 1057, Relating To The Consumer Financial Protection Act of 2010 Dodd-Frank prohibits retaliation against “any individual performing tasks related to the offering or provision of a consumer financial product or service” … Continue reading

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Dodd Frank – Implications Of The Final Rules On Internal Reporting Procedures (Part III)

Internal Reporting Alone May Constitute Protected Conduct, If The Report Was Communicated To The SEC By Others, Or The Internal Report Falls Within The “Catch-all” Provision In Egan v. TradingScreen, Inc., NO. 10 CIV. 8202 LBS, 2011 WL 1672066 (S.D.N.Y. … Continue reading

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Dodd Frank – Implications Of The Final Rules On Internal Reporting Procedures (Part II)

Although Not Required, The Final Rules Encourage And Reward Internal Reporting Although the Final Rules do not make internal reporting mandatory, the SEC also plainly states, in several places throughout the regulations, its interest in promoting strong internal compliance and … Continue reading

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Dodd Frank – Implications Of The Final Rules On Internal Reporting Procedures (Part I)

Internal Reporting Is Not Required Internal reporting procedures have been an important part of corporate compliance programs at virtually all regulated companies for many years, and took on an even more prominent role after the enactment of Sarbanes Oxley. With … Continue reading

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Dodd Frank – Procedural Aspects Of The Whistleblower Bounty (Part II)

Calculating An Award Under The “Bounty Program” If an SEC action results in sanctions totaling $1 million or more, the whistleblower is eligible to receive between 10% and 30% of any penalty recovered in a judicial or administrative action. For … Continue reading

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