INJURYATWORKADVICE
No Result
View All Result
Wednesday, January 27, 2021
  • Home
  • Injury At Work
  • Road Traffic Accidents
  • Health
  • Legal
  • Human Rights
  • Home
  • Injury At Work
  • Road Traffic Accidents
  • Health
  • Legal
  • Human Rights
No Result
View All Result
INJURYATWORKADVICE
No Result
View All Result
Home Legal

Ga. District Court Dismisses Dodd-Frank Whistleblower Claims

by injuryatworkadvice_rdd0e1
October 27, 2020
in Legal
Ga. District Court Dismisses Dodd-Frank Whistleblower Claims

On September 30, 2020, the U.S. District Courtroom for the Northern District of Georgia granted an employer’s movement to dismiss a Dodd-Frank whistleblower declare on the bottom that the alleged whistleblower didn’t complain to the SEC previous to his termination.  The court docket additionally granted Plaintiff’s SOX whistleblower declare as in opposition to three associates of Plaintiff’s employer, holding that Plaintiff had didn’t exhaust administrative treatments as to these defendants as a result of he didn’t specify the allegedly wrongful conduct attributable to every of them in his administrative grievance.  Slawin v. Financial institution of America Service provider Companies., et al., No. 19-cv-04129 (N.D. Ga. Sept. 30, 2020).

Background

Plaintiff, a former Vice President and Operations Management Officer on the Firm, filed a whistleblower retaliation motion in opposition to Firm, its mum or dad, and two joint venturers (the “non-Firm Defendants”), alleging his employment was terminated in retaliation for his complaints relating to Firm’s purported failure to adjust to Fee Card Business (“PCI”) requirements.  Particularly, he alleged that the Firm, an entity that offered fee processing providers to different corporations and municipalities, not solely didn’t deal with customers’ private knowledge in compliance with PCI requirements, but additionally knowingly misled its prospects into believing that it was, in reality, PCI compliant.  Following his termination, Plaintiff filed whistleblower retaliation complaints with the SEC and OSHA, alleging wrongful conduct by the Firm however solely naming the remaining defendants within the context of explaining their relationship to the Firm.

All 4 Defendants moved to dismiss, with the Firm shifting as to Plaintiff’s Dodd-Frank and CFPA claims, and the three remaining defendants looking for dismissal of the complete grievance as in opposition to them. Particularly, Defendants argued that Plaintiff’s Dodd-Frank declare ought to be dismissed as a result of he didn’t make a report back to the SEC previous to his termination, and his CPFA declare ought to be dismissed as a result of Defendants didn’t qualify as “lined individuals” or “service suppliers” below that statute as a result of they didn’t present providers to “prospects.”  The three non-Firm Defendants additional argued that Plaintiff’s SOX and CFPA claims ought to be dismissed as to them as a result of Plaintiff didn’t exhaust his administrative treatments by not attributing any alleged conduct to them in his SEC or OSHA complaints.

Ruling

Counting on the Supreme Courtroom’s determination in Digital Realty Tr., Inc. v. Somers, 138 S. Ct. 767 (2018) (our put up on that call is right here), the court docket held that as a result of Plaintiff didn’t present data to the SEC earlier than his termination, he didn’t qualify as a “whistleblower” below Dodd-Frank on the time of the alleged retaliation.  Accordingly, the court docket dismissed Plaintiff’s Dodd-Frank declare as to all Defendants.

Equally, the court docket granted the non-Firm Defendants’ movement as to Plaintiff’s SOX declare, holding that Plaintiff had didn’t exhaust his administrative treatments as to them.  Particularly, counting on the Eleventh Circuit’s unpublished determination in Smith v. Psychiatric Sols., Inc., 358 Fed. Appx. 76, 78 (11th Cir. 2009), wherein that court docket affirmed a call discovering lack of exhaustion in opposition to defendants not named as respondents within the administrative grievance.  After particularly noting that it didn’t learn Smith as adopting a per se rule requiring naming a SOX defendant as a respondent in an administrative grievance to exhaust treatments as to that defendant, the court docket famous that the few references to those defendants in Plaintiff’s OSHA Criticism had been inadequate.

Implications

This determination serves as a reminder that Dodd-Frank’s anti-retaliation provisions are solely triggered the place a plaintiff makes a pre-termination exterior report back to the SEC.  It additionally highlights an avenue to hunt dismissal of a SOX whistleblower retaliation grievance naming a number of company defendants the place the plaintiff doesn’t sufficiently specify in an administrative grievance alleged wrongful acts dedicated by every defendant.


© 2020 Proskauer Rose LLP.
Nationwide Legislation Evaluation, Quantity X, Quantity 300

ShareTweetShareShare

Related Posts

Internet of Things Device Security Improvements Likely 2021
Legal

Internet of Things Device Security Improvements Likely 2021

December 27, 2020
Emerging Medical AI and 3D Printing Technologies in India [Podcast]
Legal

Emerging Medical AI and 3D Printing Technologies in India [Podcast]

December 27, 2020
China Opens 3-Year Pilot Foreign Patent Program
Legal

China Opens 3-Year Pilot Foreign Patent Program

December 26, 2020
Online Pharmacies and Telemedicine in India [Podcast]
Legal

Online Pharmacies and Telemedicine in India [Podcast]

December 26, 2020
California Prop 65 elists BPA as a Reproductive Toxicant
Legal

California Prop 65 elists BPA as a Reproductive Toxicant

December 26, 2020
Mexico Daily Minimum Wages Approved for 2021
Legal

Mexico Daily Minimum Wages Approved for 2021

December 26, 2020

Popular News

why are some people experiencing long-term fatigue?

why are some people experiencing long-term fatigue?

July 16, 2020
Court of Chancery Rules on Corporate Dissolutions

Court of Chancery Rules on Corporate Dissolutions

July 21, 2020
‘Hope’ isn’t mere wishful thinking – it’s a valuable tool we can put to work in a crisis

‘Hope’ isn’t mere wishful thinking – it’s a valuable tool we can put to work in a crisis

September 21, 2020
Baby and two adults taken to hospital after car flips over on motorway

Baby and two adults taken to hospital after car flips over on motorway

June 8, 2020
Carpenter who sliced off ends of fingers with SAW forced to wait EIGHT HOURS in A&E

Carpenter who sliced off ends of fingers with SAW forced to wait EIGHT HOURS in A&E

June 8, 2020
Builder accidentally fires nail gun into his own penis and gives himself an eye-watering injury

Builder accidentally fires nail gun into his own penis and gives himself an eye-watering injury

June 8, 2020
  • Home
  • Injury At Work
  • Road Traffic Accidents
  • Health
  • Legal
  • Human Rights

Copyright © 2020 Injuryatworkadvice

No Result
View All Result
  • Home
  • Injury At Work
  • Road Traffic Accidents
  • Health
  • Legal
  • Human Rights

Copyright © 2020 Injuryatworkadvice