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Sarbanes-Oxley & Dodd-Frank Whistleblowers

New York Lawyers Handling Sarbanes-Oxley and Dodd-Frank Whistleblower Claims

The Sarbanes-Oxley Act (SOX) and the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) together provide whistleblower protection to employees of publicly traded companies and their subsidiaries and affiliates from retaliation for complaining about or reporting certain fraudulent activities. Specifically, if the company is listed on a stock exchange, SOX protects employees who report mail fraud, wire fraud, bank fraud, securities fraud, a violation of any rule or regulation of the Securities and Exchange Commission, or any provision of federal law relating to fraud against shareholders to a federal regulatory or law enforcement agency, a Member of Congress or Congressional committee, or company officials.

Added protection under Dodd-Frank covers whistleblowers who provide "original information" to the Securities and Exchange Commission (SEC), or who initiate or assist in any SEC investigation or other proceeding based on information provided to the SEC.

The remedies available for a violation of the whistleblower provision of SOX include reinstatement with seniority, back pay with interest, damages for emotional distress, and attorney's fees and litigation costs. Under Dodd-Frank a whistleblower may also recover punitive damages and double back pay as well as reinstatement and attorney's fees and for a whistleblower who provides "original information" to the SEC recovery of between 10 and 30% of any sanction imposed on the offending party may be awarded.

Contact a member of our legal team at Raff & Becker, LLP today to further discuss your questions or concerns about Sarbanes-Oxley whistleblower claims. We can help you understand your rights and ensure that they are protected.

R&B Raff & Becker, LLP

470 Park Avenue South, 3rd Floor North
New York, NY 10016
Phone: 212-732-5400
Fax: 212-732-0270
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