USDOL/OALJ Reporter: Whistleblower Caselist SOX - Decisions not associated with prior ALJ/ARB proceeding

USDOL/OALJ Reporter: Whistleblower Decisions
SARBANES-OXLEY ACT, § 806
Selected federal court decisions unassociated with a prior ALJ or ARB decision

Andaya v. Atlas Air, Inc., No. 10-CV-7878: Memorandum Decision (S.D.N.Y. Apr. 30, 2012) (not reported) (available at 2012 WL 1871511, 2012 U.S. Dist. LEXIS 78654) (granting defendant's motion for summary judgment) PDF | HTM
Ashmore v. CGI Group Inc., No. 11-cv-08611: Memorandum & Order (S.D.N.Y. June 12, 2012) PDF | HTM
Atwood v. MJKL Enterprises, LLC d/b/a Carl's Jr., No. 2:10-CV-2783: Order (D.Ariz. July 17, 2012) PDF
Barnett v. Houser, No. 3:07-CV-01724: Memorandum Order (N.D.Tex. Jan. 9, 2008) PDF | HTM
Blackwell v. Bank of America Corp., No. 7:11-cv-02475: Report of Magistrate Judge (D.S.C. Mar. 22, 2012) PDF; Judgment Adopting Magistrate Judge's Report and Recommendation (D.S.C. Apr. 12, 2012) PDF
Bond v. Rexel, Inc., 5:09-CV-122, 2011 WL 1578502: Order (W.D.N.C. Apr. 26, 2011) (failure to state a claim where plaintiff failed to file OSHA complaint) PDF
Bozeman v. Per-Se Technologies, Inc., No. 1:03-CV-3970: Magistrate's Final Report, Recommendation & Order (N.D.Ga. Sept. 12, 2006) (SOX complaint; failure to exhaust administrative remedies) PDF | HTM; Court's Order Approving Magistrate's Final Report, Recommendation & Order (N.D.Ga. Oct. 16, 2006) PDF | HTM
Brady v. Calyon Securities, No. 05 Civ. 3470: Opinion and Order (S.D. N.Y. Nov. 8, 2005) PDF
Brantley v. Title First Titling Agency, No. 11-cv-864: Report and Recommendation (S.D.Ohio Feb. 2, 2012) PDF; Opinion and Order (S.D.Ohio Apr. 10, 2012) PDF; Order (6th Cir. July 24, 2012) (dismissal of untimely appeal) PDF
Bury v. Force Protection, Inc., No. 1:09-CV-01708: Report and Recommendation (D.S.C. June 27, 2011) PDF
Carrell v. L&S Plumbing Partnership, Ltd., No. 4:10-CV-2523: Memorandum and Order (S.D.Tx. Aug. 1, 2011) (whether Dodd-Frank/SOX renders predispute arbitration agreement invalid) PDF
In re Ceridian, No. 04-CV-3704: Memorandum Opinion and Order Granting Motion to Dismissal (D.Minn. June 5, 2007) PDF | HTML
Cloke-Browne v. Bank of Tokyo-Mitsubishi UFJ, Ltd., No. 10-cv-2249: Memorandum Order (S.D.N.Y. Feb. 9, 2011) PDF | HTM; (sufficient pleading of prima facie case under SOX)
Collins v. Beazer Homes USA, Inc.: __ F.Supp.2d __, 2004 WL 2023716 (N.D.Ga. Sept. 2, 2004) [No. CIV.A.1:03-CV1347RMS] PDF
Compact Disc Minimum Advertised Price Antitrust Litigation, No. MDL No. 1361 [05-cv-118]: Order on Pending Motions (D.Conn. Sept. 25, 2006) (dismissing SOX - count VII of the complaint in 05-cv-118) PDF | HTM
Curtis v. Century Surety Co.: Order, No. CV 05-1538 (D.Ariz. Aug. 24, 2006) PDF | HTM; Memorandum, No. 08-16236 (9th Cir. Mar. 23, 2009) (unpublished) PDF | HTM
Feldman v. Law Enforcement Associates Corp.., No. 5:10-cv-00008: Order (E.D.N.C. Mar. 10, 2011) PDF | HTM; [whether post-employment conduct constitutes protected activity]
Garland v. CACI Int’l Inc., 10-cv-316: Memorandum Order (E.D. Va. Oct. 4, 2010) (not reported) (available at 2010 U.S. Dist. LEXIS 109200) (grant of defendant's motion to dismiss) PDF | HTM
Gauthier v. The Shaw Group, Inc., No. 3:12-cv-00274: Order (W.D.N.C. Dec. 4, 2012) PDF
Gladitsch v. Neo@Ogilvy, No. 11-919: Memorandum and Order (S.D.N.Y. Mar. 21, 2012) (denying motion to dismiss) PDF | HTM
Grissom v. The Mills Corp., No. 07-1777: Opinion (4th Cir. Dec. 3, 2008) (case below E.D.Va. 1:06-cv-00961) PDF | HTM
Guitron v. Wells Fargo Bank, N.A., No. 4:10-CV-3461: Order Granting in Part and Denying in Part Motion for Summary Judgment, Denying As Moot Motion to Sever, and Setting Case Management Conference (N.D.Cal. July 6, 2012) PDF
Guyden v. Aetna, Inc., No. 3:05cv1652: Ruling on Defendent's Motion to Compel Arbitration and to Dismiss Federal Proceedings, or in the Alternative, to Stay (D.Conn. Sept. 25, 2006) PDF | HTM; Guyden v. Aetna, Inc., No. 06-4954-cv (2d Cir. Oct. 2, 2008) PDF | HTM
Haley v. Merial, Ltd.: Haley v. Merial, Ltd., No. 4:09-CV-94 (N.D.Miss. July 7, 2010) PDF | HTM
Hanna v. WCI Communitities, Inc., No. 04-80596: Order Denying Motion to Dismiss of Defendants WCI Communities, Inc., Alfred Hoffman, Jr., Jerry Starkey, Michael Greenebrg, and Kerry Rudolf (S.D.Fla. Nov. 18, 2004) PDF; Order Granting Motion to Dismiss of Defendant Hilliard M. Eure, III (S.D.Fla. Nov. 18, 2004) PDF; Order Granting in Part and Denying in Part Defendant's Motion to Strike (S.D.Fla. Dec. 2, 2004) PDF; Joint Stipulation for Dismissal With Prejudice (S.D.Fla. Dec. 15, 2004) PDF
Harp v. Charter Communications, Inc.: Harp v. Charter Communications, Inc., No. 04-cv-951 (S.D.Ill. Jan. 22, 2007) PDF | HTM; Harp v. Charter Communications, Inc., No. 07-1445 (7th Cir. Mar. 16, 2009) PDF | HTM
Hines v. California Public Utilities Commission, No. 10-2813: Order Granting Defendant's Motion to Dismiss and Strike (N.D.Cal. Nov. 8, 2010) PDF | HTM
Holmes v. Air Liquide USA, LLC, No. 12-20129: Per Curiam Decision (5th Cir. Nov. 26, 2012) (whether Dodd-Frank/SOX renders arbitration agreement invalid) PDF
Holmes v. Air Liquide USA, LLC, No. 4:11-cv-02580: Memorandum and Order (S.D.Tex. Jan. 30, 2012) (whether Dodd-Frank/SOX renders arbitration agreement invalid) PDF
JDS Unifphase Corp. v. Jennings, No. 1:06-CV-00200: Memorandum Opinion (E.D.Va. Feb. 5, 2007) PDF | HTM; Memorandum Opinion (E.D.Va. Feb. 7, 2007) PDF | HTM
Jones v. Smartvideo Technologies, Inc., No. 1:06-CV-2760: Opinion and Order (N.D.Ga. June 4, 2007) PDF | HTML
Kimpson v. Fannie Mae Corp., No. 1:06-cv-00018-RWR (D.D.C. Mar. 31, 2007): Memorandum Opinion and Order (D.D.C. Mar. 31, 2007) (available at 2007 WL 1020799) PDF | HTM
Kolchinsky v. Moody's Corp., No. 1:10-CV-6840: Opinion and Order (S.D.N.Y. Feb. 28, 2012) PDF
Lebron v. American International Group, No. 1:09-cv-04285: Opinion and Order (S.D.N.Y. Oct. 19, 2009) PDF | HTM
Leshinsky v. Televent GIT, S.A., No. 1:10-CV-4511: Memorandum Opinion and Order (S.D.N.Y. July 9, 2012) PDF
Malin v. Siemens Medical Solutions Health Services, No. 8:07-cv-01896: Memorandum Opinion (D.Md. Aug. 13, 2009) PDF | HTML
Mann v. Gannett Co., Inc., No. 2:06-CV-0088: Opinion (M.D.Ala. June 8, 2007) PDF | HTML
Mart v. Forest River, Inc., No. 3:10-cv-118: Opinion and Order (N.D.Ind. Feb. 22, 2012) PDF; See also Mart v. Gozdecki, Del Giudice, Americus & Farkas LLP, No. 1:12-cv-2496 (N.D. Ill. Nov. 16, 2012) (Memorandum Opinion and Order (malpractice claim denied)) PDF
Martin v. Wyndham Vacation Resort, No. 09-cv-589: Magistrate's Report and Recommendation (D.S.C. Feb. 7, 2011) PDF | HTM; Order accepting Magistrate's Report and Recommendation (D.S.C. Mar.15, 2011) PDF | HTM; [SOX claim dismissed because plaintiff filed in district court only 64 days after filing the complaint with the Department of Labor]
McManus v. McManus Financial Consultants, Inc., No. 3:11-CV-134: Order (D.Nev. Mar. 19, 2012) PDF
Mifsud v. Tyco Valves and Controls, LP, No. 2:06-CVI-00585: Order (W.D.Wash. Dec. 13, 2006) PDF | HTM
Morrison v. MacDermid, Inc., No. 07-cv-01535: Order (D.Colo. Sept. 16, 2008) PDF | HTM
Murray v. TXU Corp., No. 3:030-cv-00888: Order [on jurisdiction] ( N.D.Tx. Aug. 27, 2003) PDF; Confidentiality Stipulation and Agreed Protective Order (N.D.Tx. June 17, 2004) PDF; Order [on motion to amend complaint] (N.D.Tx. Aug. 24, 2004) PDF; Memorandum Opinion and Order [granting partial summary judgment] (N.D.Tx. May 27, 2005) PDF; Memorandum Opinion and Order [denying plaintiff's demand for jury trial] (N.D.Tx. June 7, 2005) PDF; 30-Day Order of Dismissal [settlement] (N.D.Tx. June 9, 2005)PDF
Nance v. Time Warner Cable, Inc., No. 09-56912: Memorandum (9th Cir. May 9, 2011) (unpublished) PDF | HTM; [whether plaintiff engaged in SOX protected activity in support of State action for wrongful termination]
Nieman v. Nationwide Mutual Insurance Co., No. 09-3304: Opinion (C.D.Ill. Apr. 8, 2010) PDF | HTM
Nordstrom v. U.S. Bank, N.A., Inc., No. 3:11-cv-01554: Order Granting in Part and Denying in Part Defendant's Motion to Dismiss Plaintiff's First Amended Complaint (S.D.Cal. July 23, 2012) PDF
Nunnally v. XO Communications, No. 07-cv-1323: Order (W.D.Wa. Jan. 15, 2009) PDF | HTM
Parmer v. Wells Fargo & Co., No. 07-cv-02061: Order Regarding Defendants' Motion for Protective Order (D.Colo. May 15, 2009) (available at 2009 WL 1392081) PDF | HTM
Pezza v. Investors Capital Corp, No. No. 10-10113: Memorandum and Order (D.Mass. Mar. 1, 2011) PDF | HTM; [whether the ban on pre-dispute arbitration agreements imposed by the Dodd-Frank Act regarding SOX whistleblower protection applies retroactively]
Quintana v. United States of America - Federal OSHA, No. 1:12-cv-00867: Magistrates' Findings and Recommendation (E.D.Cal. June 25, 2012) PDF; Order Adopting Findings and Recommendation (E.D.Cal. Sept. 13, 2012) PDF
Raw v. Bank of New York Mellon Corp., No. 10-4555-cv: Summary Order (2d Cir. Jan. 10, 2012) PDF | HTM
Riddle v. First Tenn. Bank, No. 3:10–cv–0578: Memorandum (M.D. Tenn. Sept. 16, 2011) (not reported) (available at 2011 WL 4348298, 2011 U.S. Dist. LEXIS 105597) (granting defendant's motion for summary judgment) PDF | HTM
Riel v. Morgan Stanley, No. 06-cv-05801: Opinion (S.D.N.Y. Aug. 6, 2009) PDF | HTM
Romaneck v. Deutsche Asset Management: Order Granting in Part and Denying in Part Defendant's Motion for Summary Judgment, 2006 WL 2385237 (N.D.Cal. Aug. 17, 2006) [No. C05-2473] PDF | HTM; Order of Dismissal (N.D.Cal. Sept. 12, 2006) [No. C05-2473] PDF | HTM
Rowland v. Prudential Financial, Inc.: Rowland v. Prudential Financial, Inc., No. 04-CV-02287 (D.Ariz. July 2, 2007) (SOX claim dismissed as untimely); Rowland v. Prudential Financial, Inc., No. 07-16358 (9th Cir. Jan. 11, 2010) (affirming district court) PDF | HTM
Savage v. The Woodlawn Comm. Dev. Corp., No. 1:12-cv-02398: Memorandum Opinion and Order (N.D.Ill. June 20, 2012) PDF
Schlicksup v. Caterpillar, Inc., No. 09-CV-1208: Order (C.D.Ill. July 13, 2010) PDF | HTM
Schmidt v. Levi Strauss & Co., No. C-04-01206: Order Granting Defendant's Motion to Strike Jury Demand for Sarbanes-Oxley Claim (N.D.Cal. Mar. 28, 2008) PDF | HTM
Sears v. County of Monterey, No. 11-cv-1876: Order Granting Defendants' Motions to Dismiss with Partial Leave to Amend (N.D.Cal. Feb. 3, 2012) PDF
Sharkey v. J.P. Morgan Chase & Co., No. 10-3824: Opinion (S.D.N.Y. Jan. 14, 2011) PDF | HTM; Opinion (S.D.N.Y. Aug. 19, 2011) PDF
Sherman v. Dallas ISD, No. 10-cv-1146: Magistrate's recommendation (N.D.Tx. Jan. 24, 2011) PDF | HTM; Order accepting Magistrate's recommendation (N.D.Tx. Feb. 8, 2011) PDF | HTM; [SOX claim dismissed because defendant, Defendant Dallas Independent School District, was a local governmental entity and not a publicly traded company]
Smith v. Psychiatric Solutions, Inc., No. 3:08-cv-00003: Order (N.D.Fla. Mar. 31, 2009) (granting summary judgment in favor of the defendant) PDF | HTM; [Decision] (11th Cir. Dec. 21, 2009) (per curiam) (unpublished) (affirming district court) PDF | HTM; Order (N.D.Fla. Mar. 12, 2010) (attorney fees) PDF | HTM
Sussberg v. K-Mart Holding Corp.: Memorandum & Order Granting Defendant's Motion for Summary Judgment, 2006 WL 3313766 (E.D.Mich. Nov. 15, 2006) [No. 05-70378] PDF | HTM
Taylor v. Fannie Mae, No. 1:11-CV-1189: Memorandum Opinion (D.C.D.C. Mar. 20, 2012) PDF
Tides v. Boeing Co., U.S., No. 11-309: Cert. denied (Oct. 31, 2011)
Tides v. The Boeing Co., No. No. 10-35238: Opinion (9th Cir. May 3, 2011) PDF | HTM
Tides v. The Boeing Co., Nos. C08-1601 and 08-1736: Order (W.D.Wa. Feb. 9, 2010) (granting Defendant's motion for summary judgment) PDF | HTM
Trusz v. UBS Realty Investors, LLC, No. 3:09cv268: Ruling on Motion to Dismiss (D.Conn. Mar. 30, 2010) PDF | HTM
Tumban v. Biomerieux, Inc., No. 1:06CV00442: Memorandum Opinion (M.D.N.C. Mar. 13, 2007) PDF | HTM
Van Asdale v. International Game Technology, No. 3:04-CV-00703-RAM: Memorandum Decision & Order (D.Nev. June 13, 2007) PDF | HTM; Order [denying reconsideration] (D.Nev. Aug. 10, 2007) PDF | HTM; Order [Denying Motion For Terminating Sanctions] (D.Nev. Dec. 8, 2009) PDF | HTM; Order [on Motions for Summary Judgment] (D.Nev. Dec. 8, 2009) PDF | HTM; Memorandum Decision and Order (D.Nev. Apr. 8, 2010) PDF | HTM; Memorandum Decision and Order (D.Nev. May 24, 2011); Appeal filed, 9th Cir., Nos. 11-16538, 11-16626
Van Asdale v. International Game Technology, No. 07-16597: Opinion (9th Cir. Aug. 13, 2009) PDF | HTM
Wiest v. Lynch, 10-cv-3288: Memorandum (E.D.Pa. July 21, 2011) PDF | HTM; Memorandum [decision on reconsideration], 2011 WL 5572608 (E.D.Pa. Nov. 16, 2011) PDF | HTM; Appeal filed in the Third Circuit, No. 11-4257
Williams v. United Airlines, Inc.: Williams v. UAL, Inc., No. 12-cv-3781 (N.D.Cal. Dec. 13, 2012) (Order Granting Motions to Dismiss) (related to ARB No. 08-063, ALJ No. 2008-AIR-3, but new claim filed under RICO and SOX alleging conspiracy by various defendents, including OSHA, the presiding ALJ and the ARB) PDF
Williams v. Boston Scientific Corp., No. C:08-cv-01437: Order: (1) Denying Plaintiff's Motion to Remand; (2) Denying Defendant's Motion to Stay; (3) Granting Defendant's Motion to Dismiss; and (4) Vacating Hearing (N.D.Cal. May 13, 2008) PDF | HTM
Wingard v. Countrywide Home Loans, Inc., No. 2:07cv904-MHT: Opinion (M.D.Ala. Sept. 18, 2008) PDF | HTM