Sarbanes-Oxley whistleblower law Archives

Does the Sarbanes-Oxley Act protect disclosures made in the ordinary course of an employee performing her job duties?

Does the Sarbanes-Oxley Act protect whistleblowing in the course of performing one’s job duties? A corporate whistleblower is protected under the Sarbanes-Oxley Act when … Continued

Who is protected under the whistleblower protection provision of the Sarbanes-Oxley Act?

Scope of Sarbanes-Oxley Corporate Whistleblower Protection The whistleblower protection provision of SOX protects: employees, officers, and agents of publicly traded companies (companies issuing securities … Continued

What is the “reasonable cause” standard in an OSHA whistleblower investigation?

Standard Governing OSHA Whistleblower Investigations In spring 2015, OSHA issued a memo clarifying the investigative standard for OSHA whistleblower investigations. OSHA enforces more than twenty … Continued

What acts of retaliation are prohibited by the Sarbanes-Oxley whistleblower protection law?

Retaliation Prohibited by the Sarbanes-Oxley Whistleblower Protection Law The Sarbanes-Oxley whistleblower protection law prohibits a broad range of retaliatory acts, including: termination; demotion; suspension; harassment; … Continued

What is a whistleblower’s burden to prove retaliation under the Sarbanes-Oxley Act?

To prevail, a SOX whistleblower must prove by a preponderance of the evidence that:

they engaged in protected activity (they made a protected disclosure under Section 806);
the employer knew that they engaged in the protected activity;
they suffered an unfavorable personnel action;
the protected activity was a contributing factor in the unfavorable action.

What whistleblowing disclosures are protected under the Sarbanes-Oxley Act?

What is Sarbanes-Oxley protected conduct? Whistleblowers are protected under SOX for providing information, causing information to be provided, or otherwise assisting in an investigation … Continued

Does the Sarbanes-Oxley Act protect whistleblowing about potential violations of federal securities laws?

A SOX retaliation plaintiff need not demonstrate that they disclosed an actual violation of securities law; only that they reasonably believed that their employer was defrauding shareholders or violating an SEC rule. Indeed, a reasonable but mistaken belief is protected under SOX. “To demonstrate that a plaintiff engaged in a protected activity, a plaintiff must show that [s]he had both a subjective belief and an objectively reasonable belief that the conduct [s]he complained of constituted a violation of relevant law.”

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