SOX Whistleblower Protection FAQs

 

 

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Frequently Asked Questions About the Sarbanes-Oxley Corporate Whistleblower Protection Law from Experienced SOX Whistleblower Lawyers

Protected Whistleblowing Under the Sarbanes-Oxley Whistleblower Law

• Who is protected under the whistleblower protection provision of the Sarbanes-Oxley Act?
• What whistleblowing disclosures are protected under the Sarbanes-Oxley Act?
• What are examples of SOX-protected activity (protected whistleblowing)?
• Does the Sarbanes-Oxley Act protect whistleblowing about potential violations of federal securities laws?
• Are SOX whistleblowers required to show that their disclosures relate “definitively and specifically” to a federal securities law?
• Is an employee’s participation in an investigation of corporate fraud protected under the Sarbanes-Oxley Act?
• What are some types of proof to show that a disclosure is objectively reasonable?
• Is a whistleblower’s motive for engaging in protected activity relevant in a whistleblower protection case?
• Does Sarbanes-Oxley protected conduct require a showing of materiality?
• Is a Sarbanes-Oxley whistleblower required to prove fraud?
• Are disclosures made in the course of performing one’s job duties protected?
• Must a SOX whistleblower prove that the individual who made the final decision to take the adverse action has personal knowledge of the whistleblower’s protected activity?
• Does the Sarbanes-Oxley whistleblower law protect employees working outside the United States?

Prohibited Whistleblower Retaliation Under the SOX Whistleblower Law

 

• What acts of retaliation are prohibited by the Sarbanes-Oxley whistleblower protection law?
• Is constructive discharge a prohibited act of retaliation under SOX?
• Does SOX prohibit employers from “outing” confidential whistleblowers?
• Is retaliation that occurred outside of the statute of limitations period relevant evidence of retaliation?
• Does subjecting an employee to heightened scrutiny evidence retaliation?
• Does SOX prohibit post-termination retaliation?
• What is preemptive retaliation?

Proving Sarbanes-Oxley Whistleblower Retaliation

• What is a whistleblower’s burden to prove retaliation under the Sarbanes-Oxley Act?
• How can a whistleblower prove retaliation?
• Must a whistleblower prove retaliatory motive in a DOL whistleblower retaliation case?
• Why should courts be skeptical of an adverse employment action taken based on subjective criteria?
• What are some methods to prove pretext in retaliation and discrimination cases?
• Does a SOX whistleblower need to prove that the employer’s reason for the adverse action is untrue?
• What is the employer’s burden in a Sarbanes-Oxley whistleblower retaliation case?
• Does subjecting an employee to heightened scrutiny evidence retaliation?

Relief or Damages for SOX Whistleblowers

• What damages can a whistleblower recover under SOX?
• Does the Sarbanes-Oxley whistleblower protection law authorize emotional distress damages?
• What is front pay?
• Can OSHA order the reinstatement of a Sarbanes-Oxley whistleblower?
• If reinstatement is not feasible, can a judge award front pay in lieu of reinstatement?
• Does SOX authorize an award of punitive damages?

Litigating Sarbanes-Oxley Whistleblower Retaliation Cases

• Can I sue an individual under the Sarbanes-Oxley Act?
• What is the statute of limitations for a SOX whistleblower retaliation case?
• Who administers the whistleblower-protection provision of SOX?
• What level of detail is required in a Sarbanes-Oxley complaint?
• Can a Sarbanes-Oxley whistleblower bring a retaliation case in federal court?
• Does the Sarbanes-Oxley Act authorize jury trials?
• Where are SOX whistleblower cases litigated?
• Do formal rules of evidence apply in Sarbanes-Oxley whistleblower trials at the Department of Labor?
• What is the scope of discovery in a Sarbanes-Oxley whistleblower case?
• What is the “reasonable cause” standard in an OSHA whistleblower investigation?
• Can a Sarbanes-Oxley whistleblower appeal an Administrative Law Judge’s decision?
• Where can a Sarbanes-Oxley whistleblower appeal a decision of the Administrative Review Board?
• Do mandatory arbitration agreements encompass SOX whistleblower claims?
• Does OSHA prohibit gag clauses in settlement agreements?
• Does Section 806 of SOX preempt other claims or remedies?

Additional FAQs About the Sarbanes-Oxley Whistleblower Protection Law  

• Why did Congress enact the whistleblower protection provision of the Sarbanes-Oxley Act?
• Can whistleblowers obtain rewards or bounties for reporting fraud to the SEC?
• Does the breach of an anti-retaliation policy in a Code of Ethics give rise to a retaliation claim?
• Does concealment of potential liability violate federal securities laws?
• Can corporate whistleblowers use company documents to expose fraud?
• Does the SEC protect whistleblowers?
• What is the half-truth doctrine in federal securities law?

Video FAQs about SOX Whistleblower Protection Law

• Do federal laws protect whistleblowers against retaliation?
• Will I get a reward for reporting fraud being committed by my employer?
• What is the statute of limitations to file a SOX claim?
• Where are SOX whistleblower cases litigated?
• Do mandatory arbitration agreements encompass SOX whistleblower claims?
• What level of detail is required in a Sarbanes-Oxley complaint?
• Can I sue an individual under the Sarbanes-Oxley Act?
• Are whistleblowers in the financial services or banking industry protected against retaliation?
• Who administers the whistleblower protection provision of the Sarbanes-Oxley Act?

Whistleblower Protection Lawyers Representing SOX Whistleblowers Nationwide

 

Leading whistleblower firm Zuckerman Law represents senior professionals in high-stakes employment matters, including corporate officers, executives, managers, and partners at professional services firms.  The firm’s seasoned whistleblower attorneys have obtained substantial recoveries for clients under the Sarbanes Oxley whistleblower protection law and under other whistleblower laws.

Click here to read testimonials from CEOs, CFOs, and other senior professionals that we have represented. To schedule a free preliminary consultation, call us at 202-262-8959, or click here.

• U.S. News and Best Lawyers® have named Zuckerman Law a Tier 1 firm in Litigation – Labor and Employment in the Washington DC metropolitan area.
• Matt Stock is a Certified Public Accountant, Certified Fraud Examiner and former KPMG external auditor.  As an auditor, Stock developed expertise in financial statement analysis and internal controls testing and fraud recognition.  He uses his auditing experience to help IRS, CFTC and SEC whistleblowers investigate and disclose complex financial frauds to the government and develop a roadmap for the SEC to take an enforcement action.  Matt has been interviewed on CNBC, quoted extensively about whistleblower rewards in the media, and is the lead author of SEC Whistleblower Program: Tips from SEC Whistleblower Attorneys to Maximize an SEC Whistleblower Award.
• Dallas Hammer has extensive experience representing whistleblowers in retaliation and rewards claims and has written extensively about cybersecurity whistleblowing. He was selected by his peers to be included in The Best Lawyers in America® in the category of employment law in 2021 and 2022.
• Described by the National Law Journal as a “leading whistleblower attorney,” founding Principal Jason Zuckerman has established precedent under a wide range of whistleblower protection laws and obtained substantial compensation for his clients and recoveries for the government in whistleblower rewards and whistleblower retaliation cases.  He served on the Department of Labor’s Whistleblower Protection Advisory Committee, which makes recommendations to the Secretary of Labor to improve OSHA’s administration of federal whistleblower protection laws.  Zuckerman also served as Senior Legal Advisor to the Special Counsel at the U.S. Office of Special Counsel, the federal agency charged with protecting whistleblowers in the federal government.  At OSC, he oversaw investigations of whistleblower claims and obtained corrective action or relief for whistleblowers.
• Zuckerman was recognized by Washingtonian magazine as a “Top Whistleblower Lawyer” (2020, 2018, 2017, 2015, 2009, and 2007), selected by his peers to be included in The Best Lawyers in America® in the category of employment law (2011-2021) and in SuperLawyers in the category of labor and employment law (2012 and 2015-2021), is rated 10 out of 10 by Avvo, based largely on client reviews, and is rated AV Preeminent® by Martindale-Hubbell based on peer reviews
• We have published extensively on whistleblower rights and protections, and speak nationwide at seminars and continuing legal education conferences.  We blog about new developments under whistleblower retaliation and rewards laws at the Whistleblower Protection Law and SEC Awards Blog, and in 2019, the National Law Review awarded Zuckerman its “Go-To Thought Leadership Award” for his analysis of developments in whistleblower law.
• Our attorneys have been quoted by and published articles in leading business, accounting, and legal periodicals, including The Wall Street Journal, Forbes, CNBC, MarketWatch, Vox, Accounting Today, Going Concern, Law360 – Expert Analysis, Investopedia, The National Law Review, inSecurities, Government Accountability Project, S&P Global Market Intelligence, Risk & Compliance Magazine, The D&O Diary, The Compliance and Ethics Blog, Compliance Week and other printed and electronic media.

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SOX Whistleblower Protection Damages and Remedies

 

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