October 17, 2021

Volume XI, Number 290

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October 15, 2021

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Scope of Dodd-Frank Whistleblower Anti-Retaliation Provision Remains Critical, Open Question [VIDEO]

Can an employee who blows the whistle on alleged securities law violations within the company (and is therefore protected by the anti-retaliation provision of the Sarbanes-Oxley Act), but does not blow the whistle externally to the SEC, also invoke the more advantageous anti-retaliation protections of the Dodd-Frank Act in a private lawsuit?  Or is Dodd-Frank limited to protecting external whistelblowers? There is a growing split of authority on this question among various federal appellate and district courts.  On June 17, 2015, the Second Circuit heard oral arguments on this issue in Berman v. Neo@Ogilvy LLC, 14-4626 (2d Cir.); a decision should be forthcoming this year that may or may not deepen the divide.

In the following video clip from a recent webinar, I discuss the split of judicial authority on this issue, the reasons behind it and what is ultimately at stake:

 

©2021 Epstein Becker & Green, P.C. All rights reserved.National Law Review, Volume V, Number 195
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About this Author

john f fullerton III, epstein becker green, new york, financial services
Member

JOHN F. FULLERTON III is a Member of the Firm in the Labor and Employment practice in the New York office of Epstein Becker Green, where he co-leads the Financial Services strategic industry group.

Mr. Fullerton's practice currently focuses on representing employers in whistleblower compliance and litigation defense in retaliation cases brought pursuant to the Sarbanes-Oxley Act, Dodd-Frank Act, the False Claims Act, as well as state law whistleblower statutes. In this capacity, he has represented a variety of publicly traded...

212-351-4580
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