SOX Whistleblower Defeats Motion to Dismiss
SOX prohibits publicly traded companies from retaliating against whistleblowers who raise concerns about securities fraud, shareholder fraud, bank fraud, a violation of any SEC rule or regulation, mail fraud, or wire fraud. A SOX whistleblower need not show that an actual violation occurred so long as the whistleblower reasonably believes that the company’s conduct constituted a SOX violation. The inquiry into whether a whistleblower had a reasonable belief is fact-dependent and varying with the circumstances of the case.
Duane H. Wunsch
Fidelity National Title Group, Inc.
- Wisconsin State Counsel for Fidelity National Title Group
- Over 30 years of experience, including searching and examining titles, closing transactions, and handling title insurance claims
- Member of the State Bar of Wisconsin and the Milwaukee Bar Association
- Past President of the Wisconsin Land Title Association
- J.D. degree, Emory University; B.A degree, UW - Madison
Jason Zuckerman litigates whistleblower retaliation and rewards, wrongful discharge, and other employment-related claims, and authors the Whistleblower Protection Law Blog. His broad experience includes serving 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. In 2012, the Secretary of Labor appointed Zuckerman to serve on the Whistleblower Protection Advisory Committee, which makes recommendations to the Secretary of Labor to improve OSHA’s administration of federal whistleblower protections.
Matthew Stock is an associate at Zuckerman Law, where his practice focuses on representing whistleblowers in whistleblower rewards and whistleblower retaliation cases. Mr. Stock has audited a broad range of industries, both domestically and internationally, including large public companies and financial institutions. He uses his auditing experience to help IRS, CFTC and SEC whistleblowers investigate and disclose complex financial frauds to the government.
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