The U.S. Department of Labor Administrative Review Board (“ARB”) extended the potential reach of SOX whistleblower coverage to private companies whose subsidiaries are partially owned by a publicly traded company. It also confirmed that reports to external auditors and concerns
Proskauer Whistleblower Defense
The Proskauer Whistleblower Defense blog, published by Proskauer Rose LLP, focuses on legal developments and case law related to whistleblower protections and retaliation claims. It covers topics such as statutory frameworks including the Sarbanes-Oxley Act (SOX), Dodd-Frank Act, Anti-Money Laundering Act (AMLA), Financial Institutions Reform, Recovery, and Enforcement Act (FIRREA), and the Federal Railroad Safety Act (FRSA). The blog discusses court rulings on procedural requirements, administrative prerequisites, burden-shifting frameworks, and enforcement challenges in whistleblower litigation. It also highlights significant settlements and strategic considerations for employers and employees involved in whistleblower disputes.
Latest from Proskauer Whistleblower Defense
Cal. Federal Court Grants Employer Summary Judgment Despite Protected Whistleblowing
A recent decision from the U.S. District Court for the Northern District of California granting summary judgment in favor of an employer despite evidence of protected whistleblowing is instructive. Han v. Pfizer (No. 23-cv-039080-AMO).
Background
The plaintiff, a compliance analytics…
SOX Whistleblower Claim Survives Summary Judgment Despite No Explicit Allegation of Fraud
On April 17, 2026, in Potyondy v. Pacific Coast Energy Co. (No. 2:24-CV-09151), the U.S. District Court for the Central District of California denied an employer’s motion for summary judgment on a SOX whistleblower claim—even though the plaintiff admitted he…
The Department of Justice, Antitrust Division Issues Its First Reward To Anonymous Whistleblower For Providing Information Leading To The Resolution of Antitrust And Wire Fraud Charges
The Antitrust Division of the Department of Justice announced on January 29, 2026 that it had rewarded $1,000,000.00 to an anonymous whistleblower for their report of a bid rigging scheme in violation of the Sherman Act and 18 U.S.C. §…
Court Narrowly Interprets Whistleblower Protections Under AMLA and FIRREA
On September 23, 2025, in Park v. Shinhan Bank America, the U.S. District Court for the Southern District of New York dismissed whistleblower retaliation claims brought by four former compliance officers of Shinhan Bank America (“SHBA”) pursuant to Rule 12(b)(6).…
Colorado Federal Court Dismisses SOX and Dodd-Frank Whistleblower Claims, Emphasizing Administrative Prerequisites
On September 17, 2025, in Prkic v. Sezzle, Inc., the U.S. District Court for the District of Colorado dismissed whistleblower retaliation claims under both the Sarbanes-Oxley Act (“SOX”) and the Dodd-Frank Act (“Dodd-Frank”) where the plaintiff failed to: (i) submit…
Former Executive Secures $34.5 Million Settlement in Whistleblower Retaliation Case
On March 20, 2025, in Zornoza v. Terraform Global Inc. et al, No. 818-cv-02523 (D. Md. Apr. 4, 2025), a former executive of two SunEdison subsidiaries secured a $34.5 million settlement over his SOX whistleblower retaliation claims.
Background
Carlos…
Third Circuit Refuses to Enforce Preliminary Reinstatement Order Issued By OSHA
On October 15, 2024, the U.S. Court of Appeals for Third Circuit declined to enforce a preliminary reinstatement order issued by OSHA in favor of two purported whistleblowers under SOX, holding that the former employees lost Article III standing after…
Ninth Circuit Revives Rail Worker’s Whistleblower Claims
The Ninth Circuit’s recent decision in Parker v. BNSF Railway Company, 112 F.4th 687 (9th Cir. 2024) underscores the burden faced by employers in defending against whistleblower retaliation claims assessed under the burden-shifting framework of the Federal Railroad Safety…
SEC Announces Slew of Enforcement Actions Regarding Whistleblower Protection Rule
The SEC recently announced the settlement of multiple enforcement actions for violations of its whistleblower protection rule, which prohibits “any action to impede an individual from communicating directly with the Commission staff about a possible securities law violation.” SEC Rule…