sarbanes-oxley
15 cases — ← All topics
| Case | Title | Lower Court | Docketed | Status | Flags | Tags | Question Presented |
|---|---|---|---|---|---|---|---|
| 25-164 | Mitzi Baker v. Social Security Administration | Federal Circuit | 2025-08-11 | Denied | Response Waived | employment-law individual-right-action retaliatory-intent sarbanes-oxley statutory-interpretation whistleblower-protection | Whether federal whistleblowers have to prove "retaliatory intent" in an Individual Right to Action, (IRA), under the Whistleblower Protection Enhancem… |
| 25A141 | Trevor Murray v. UBS Securities, LLC, et al. | Second Circuit | 2025-08-04 | Presumed Complete | burden-shifting contributing-factor employment-discrimination retaliatory-intent sarbanes-oxley whistleblower-protection | Whether the "contributing factor" standard under the Sarbanes-Oxley Act whistleblower protection provision, 18 U.S.C. § 1514A, requires proof that pro… | |
| 25-103 | BofI Federal Bank, nka Axos Bank v. Charles Matthew Erhart | Ninth Circuit | 2025-07-28 | Denied | Response Waived | affirmative-defense burden-shifting employment-law personnel-action sarbanes-oxley whistleblower-protection | Under AIR-21's two-step framework, can evidence showing an employee's protected activity was a contributing factor in the unfavorable personnel action… |
| 24-1109 | Karl Hansen v. Tesla, Inc., et al. | Ninth Circuit | 2025-04-25 | Denied | Response Waived | arbitration-award issue-preclusion predispute-arbitration sarbanes-oxley statutory-interpretation whistleblower-claim | 1. Whether a confirmed arbitration award on related or overlapping claims may be given issue-preclusive effect so as to bar a Sarbanes-Oxley ("SOX")… |
| 24-6854 | Austin Roger Carter v. Genesis Alkali LLC, et al. | Tenth Circuit | 2025-03-25 | Denied | IFP | constitutional-rights judicial-misconduct sarbanes-oxley statutory-interpretation tenth-circuit whistleblower-protection | Did the Tenth Circuit err in disregarding the unanimous findings of the United States Supreme Court in regard to the provisions of 18 U.S.C. § 1514A? … |
| 24A701 | Karl Hansen v. Elon Musk, et al. | Ninth Circuit | 2025-01-16 | Presumed Complete | arbitration dean-witter-reynolds issue-preclusion protected-activity sarbanes-oxley securities-law | Question not identified. | |
| 22-660 | Trevor Murray v. UBS Securities, LLC, et al. | Second Circuit | 2023-01-18 | Judgment Issued | Amici (14)Relisted (2) | affirmative-defense burden-shifting employment-law intent personnel-action retaliation retaliatory-intent sarbanes-oxley whistleblower whistleblower-protection | Under the burden-shifting framework that governs Sarbanes-Oxley cases, must a whistleblower prove his employer acted with a "retaliatory intent" as pa… |
| 21-1387 | Erik Leckner v. General Dynamics Information Technology, et al. | Ninth Circuit | 2022-04-27 | Denied | Response Waived | 2nd-amendment administrative-law brown-vs-board civil-rights cybersecurity-risk due-process free-speech retaliation-claim sarbanes-oxley standing whistleblower-protection | 1. Whether the court of appeals failed to recog nize that SOX whistleblower protections does extend to cybersecurity risks and breaches, especially … |
| 21-205 | Thomas Rimini v. Department of Labor | Second Circuit | 2021-08-12 | Denied | Response Waived | administrative-procedure-act administrative-record default-judgment department-of-labor frap-17 local-rules res-judicata sarbanes-oxley subject-matter-jurisdiction | 1. Should an unopposed default judgement be granted because the Department of Labor ("DOL ") did not submit the full administrative record to the cou… |
| 20-1658 | Thomas Rimini v. Department of Labor | First Circuit | 2021-05-27 | Denied | Response Waived | administrative-exhaustion appellate-procedure civil-procedure department-of-labor federal-rules-of-appellate-procedure non-waiver-mandate sarbanes-oxley subject-matter-jurisdiction | 1. Did the First Circuit lack subject matter jurisdiction to rule while an earlier-filed Sarbanes-Oxley matter with identical causes of action is not … |
| 20-1322 | Michael Neely v. The Boeing Company | Ninth Circuit | 2021-03-23 | Denied | Relisted (3) | administrative-action administrative-law age-discrimination civil-rights dodd-frank due-process equal-protection sarbanes-oxley standard-of-review whistleblower-rights | 1) Do Whistleblowers have a right to the equality of standard review under law, when the adverse effect dismisses the entire causes of action? 2) Do … |
| 20-458 | Michael B. Brown v. Department of Labor | Eleventh Circuit | 2020-10-08 | Denied | Response WaivedRelisted (2) | administrative-law civil-procedure deposition-modification evidence factual-finding federal-rules-of-civil-procedure petition-for-review regulatory-compliance sarbanes-oxley whistleblower-protection | Whether a judge's change of a party's transcribed deposition is an appropriate factual finding, conclusion, and decision defined by Sarbanes-Oxley's 2… |
| 19-788 | Erin Daly v. Citigroup, Inc., et al. | Second Circuit | 2019-12-19 | Denied | Response Waived | arbitration-agreement blacklisting dodd-frank employment-law finra-form-u-5 retaliation sarbanes-oxley sarbanes-oxley-act sec-violations whistleblower-protection | 1. Whether the provisions under the Sarbanes-Oxley Act as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 protect whi… |
| 19-33 | Kevin Wallace v. Andeavor Corporation | Fifth Circuit | 2019-07-03 | Denied | Response Waived | circuit-split civil-rights employee-protection federal-prohibitions matter-of-law objective-reasonableness sarbanes-oxley sarbanes-oxley-act trier-of-fact whistleblower whistleblower-protection whistleblower-retaliation | The anti-retaliation provision of the Sarbanes-Oxley Act, 28 U.S.C. § 1514A(a), forbids retaliation against an employee because he or she disclosed t… |
| 18-442 | Jesse R. Benton v. United States | Eighth Circuit | 2018-10-09 | Denied | 18-usc-1001 campaign-finance false-statement falsity fec feca federal-election-commission materiality materiality-requirement reporting-violations sarbanes-oxley sarbanes-oxley-act statutory-interpretation | 1. WHETHER THE MATERIALITY REQUIREMENT IN 18 USC SECTION 1001 CAN BE TURNED INTO A MERE FALSITY REQUIREMENT IN THE FEC REPORTING CONTEXT OR WHETHER TH… |