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Sarbanes-Oxley Act
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JP Morgan Attorney’s Workplace Retaliation Suit Moves Forward

Shaquala Williams, a former compliance attorney at JP Morgan, has sued the company for retaliation after she raised misconduct concerns. The bank filed a motion for summary judgement, alleging Williams was terminated due to poor performance. A New York federal judge denied summary judgement, and the trial will begin this November. Case background Williams’ suit Read More

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Which Protections are Available for Corporate Whistleblowers?

There are not any federal laws that afford general protections to corporate whistleblowers. However, there are many types of protected disclosures under federal whistleblower laws. These protections come from a variety of sources, including the following: False Claims Act: The False Claims Act protects disclosures about fraud toward the government, including any actions taken to Read More

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Alternative Dispute Resolution Can Work Well in Whistleblower Cases

When Congress passed the Sarbanes-Oxley Act of 2002, it included a whistleblower provision (Section 806) that protected employees of public companies who were victims of retaliation after they had either disclosed or complained about fraudulent acts by their employers. Since then, the number of cases that can be brought under SOX has been significantly increased. Read More

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SOX Whistleblower Protection Still Important Remedy in Wake of Berman v. [email protected]

The recent Berman v. [email protected] case showed us that the whistleblower protections afforded in the Sarbanes-Oxley Act are still extremely important and relevant, despite many predictions that the whistleblower provision of the Dodd-Frank Act would make them obsolete. Claims under SOX remain an excellent remedy for whistleblowers who have been victims of retaliation in the Read More

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SEC Offers More Guidance on How to Interpret Whistleblower Rules

In early August, the Securities and Exchange Commission (SEC) issued some clarification on rules regarding internal whistleblower reporting. According to the agency, whistleblowers are to be protected under the Dodd-Frank Act when they report misconduct both internally and directly to the SEC. This is the first formal clarification the SEC has issued, and it clears Read More

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Jury Awards $1.6 Million to Whistleblower in Sarbanes-Oxley Case

A federal jury in New York recently awarded $1.6 million to a whistleblower who provided useful information in a retaliation lawsuit under the Sarbanes-Oxley Act. This award is consistent with a recent national trend of awarding whistleblowers with large sums of compensation, the idea being that larger rewards lead to more whistleblowers willing to come Read More

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Whistleblower Retaliation Protections Upheld in Sixth Circuit

The Sixth Circuit of Appeals confirmed financial planner Michael Rhinehimer’s $250,000 award in his lawsuit against his former employer, U.S. Bancorp, for retaliation against a complaint. Through affirming Rhinehimer’s case, the Sixth Circuit has upheld Section 1514A of the Sarbanes-Oxley Act, which allows a whistleblower to act and be protected if the individual has reasonable Read More

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Supreme Court Extends SOX Whistleblower Protection to Contractors

The Reverend Martin Luther King, Jr. once said, “Darkness cannot drive out darkness; only light can do that.” Following a rash of financial calamities largely caused by risky and illegal conduct within publicly traded companies, Congress enacted the Sarbanes-Oxley Act (SOX) to shine light into corporate boardrooms and corridors and protect the employees of publicly-traded Read More

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Ethical Challenges Lawyers Face Under Sarbanes-Oxley

Deciding to report internal misconduct can be difficult for any employee or officer of an organization. For members of the legal profession, however, the decision can easily conflict with their ethical obligations. Lawyers working as in-house counsel have long struggled with the apparent contradictions between their own professional ethical rules and the whistleblowing requirements of Read More

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Adopt an Internal Whistleblower Policy

It is highly recommended for companies and organizations to implement a strong internal whistleblower policy. The primary reasons for a corporate whistleblower system are to protect the company and its chief executive officer and chief financial officer from criminal indictment and the ensuing penalties and to protect the shareholders from losses of their equity interests.  Read More

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In his new book, "Standing Up to China: How a Whistleblower Risked Everything for His Country," former client & Author, Ashley Yablon, quotes Attorney Steve Kardell about Whistelblower Law.
  • "Steve Kardell was terrific in representing me in some very adversarial discussions with Citigroup and also later represented me in my testimony before the Financial Crisis Inquiry Commission."  -Richard Bowen, Citigroup Whistleblower

  • "Incredible knowledge of employee related concerns and equally brilliant knowledge of health care regulations, standards of practice. I would recommend this firm to anyone."  -V.B.

  • "Reaching out to Steve Kardell was the best decision I made. His ability to provide immediate insight and direction was very powerful, and a huge relief during a very stressful time period. For anyone struggling with a whistleblower situation, I would highly recommend at least speaking with Steve. After a 10 minute call with him, I had a better understanding of what I was dealing with. Even better, he gave me some immediate hope. In the end Steve did a better job than I thought was possible. Steve was able to get in contact with people in my organization, that I didn’t have access to. Because of his years of experience, he already has contacts in many organizations in Dallas. The entire situation was handled peacefully. I was impressed by his ability to “keep the peace”–rather than creating a battle with the organization. The reason I didn’t reach out to a lawyer initially, was because I thought it would mean an immediate end to any hope of a positive relationship with the company. Steve was able to address my concerns, and in the end I was able to continue to work for them."  -KS

  • "Never thought my career would end like it did after 30 years of service. I was part of the first round of the so called reduction of force. I asked myself how can I be part of this with 30 years of seniority. How did they pick these 90 plus employees? Now, the culture of this organization made you question every decision they made. It wasn’t what you knew it’s was a culture of who you know. Nonetheless, I did not accept their severance package. I immediately starting looking for an attorney who would take on my case. After the initial call to Steve I had hope again. He was open and honest about everything and reassured me he would do his best for me, and he did. I had an awesome outcome. Thanks Steve you’re the best."  -S.S.