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Issue Date: 10 March 2004 CASE NO.: 04-SOX-00028
04-SOX-00030
In the Matter of:
STEPHEN CISSOM, Complainant, and
SAMUEL T. DUBOSE, Complainant
v.
A.G. EDWARDS & SONS, INC., Respondent
ORDER DISMISSING COMPLAINTS WITHOUT PREJUDICE
These matters arise under § 806 of the Corporate and Criminal Fraud Accountability Act of 2002, 18 U.S.C. §1514A ("Sarbanes-Oxley Act" or "Act"). The Act provides, inter alia, protection for whistleblowers who are employees of publicly traded companies by permitting them to file a complaint with the Department of Labor. However, the Act further provides that the complainant may file a complaint in the United States District Court, if the Secretary has not issued a final decision within 180 days of the filing of the complaint and there is no showing that such delay is due to the bad faith of the claimant.
In the instant case, a review of the referral revealed that the 180 day time limitation for issuance of a final decision by the Secretary of Labor under §1514A(b)(1)(B) expired prior to completion of the investigation by OSHA; and that an action had been filed in the United States District Court for South Carolina, pursuant to §1514A(b)(1)(B). Therefore, an order was issued requiring the parties to show cause why the complaints in these cases should not be dismissed, without prejudice, for lack of jurisdiction.
On March 2, 2004, Counsel for the Complainants filed a response indicating that they have no objection to dismissal without prejudice as the cases are pending before the United States District Court.
Accordingly, it is Ordered that the complaints filed herein are dismissed without prejudice.
