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In the first ruling applying the whistleblower protections of the Sarbanes-Oxley Act of 2002, 18 U.S.C. ' 1514A, an Administrative Law Judge (ALJ) ordered a bank holding company to rehire its former Chief Financial Officer (CFO), after finding that the company fired the CFO in retaliation for reporting alleged accounting misconduct to the company's Chief Executive Officer (CEO), outside auditors, and others.
The Sarbanes-Oxley Act (SOX) responded to well-publicized allegations of securities fraud. Its commandments about financial and internal control certifications, audit committees, auditor independence and the like expressly target publicly traded corporations. Yet much has been written about the "inevitable" spillover of SOX-type obligations onto not-for-profit organizations, especially in the health care sector. As a result, not-for-profit CEOs, compliance officers and counsel have practical questions.
On Feb. 5, 2004, the FDA and the SEC announced a new alliance between the two agencies. In a press release describing the changes, the FDA explained that "[u]nder the new referral procedure, any FDA employee who believes a publicly held, FDA-regulated firm has made a false or misleading statement to the investment public concerning a matter within the FDA's authority can initiate a process for referring the matter to the SEC Division of Enforcement."
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As we all know, the ADA prohibits discrimination on account of past, present and perceived physical and emotional disabilities. Generally, the key to avoiding liability is focusing on abilities and not disabilities. That's an easy mantra to articulate, but it can be deceptively complicated for a supervisor to implement.
Continuing a seesaw battle that has been ongoing since the early 1980s, the NLRB recently held in a 3-2 decision that non-union employees do not have a right under the National Labor Relations Act to be accompanied by a fellow employee during a meeting that might lead to discipline.
In the past several years, employment class and collective action lawsuits have caught the attention of employees across the country. Many of these cases have resulted in multi-million dollar settlements or verdicts. Equally troubling, once an industry or corporation is viewed as potentially vulnerable on an issue, copycat cases may be brought in multiple jurisdictions against the same defendant or against others in the same industry.
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