SARBANES-OXLEY ACT, ยง 806
2008-SOX
- 2008-SOX-1 Kulik v. Affiliated Computer
- Recommended Order to Dismiss
(ALJ Nov. 20, 2007) (Patrick M. Rosenow)
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HTM
- 2008-SOX-2 Hathaway v. Leiner Health Products, Inc.
- Final Order of Dismissal
(ALJ Dec. 26, 2007) (Daniel A. Sarno, Jr.)
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HTM
- 2008-SOX-3 Kelly v. Sonic Automotive, Inc.
- Decision & Order of Dismissal & Order Cancelling Hearing
(ALJ Nov. 20, 2007) (C. Richard Avery)
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HTM
- Final Decision and Order Dismissing Appeal (ARB Dec. 17, 2008) PDF | HTM
- Final Decision and Order Dismissing Appeal (ARB Dec. 17, 2008) PDF | HTM
- 2008-SOX-4 Rowland v. Prudential Equity Group LLC
- Decision & Order Dismissing Claim
(ALJ June 23, 2008) (Steven B. Berlin)
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HTM
- Final Decision and Order (ARB Jan. 13, 2010) PDF | HTM
- Rowland v. USDOL, No. 10-70428 (9th Cir. Mar. 5, 2012) (unpublished) (petition for review denied) PDF | HTM
- Final Decision and Order (ARB Jan. 13, 2010) PDF | HTM
- 2008-SOX-5 Godfrey v. Union Pacific Railroad Co.
- Decision & Order Granting
Respondent's Motion for Summary Decision & Dismissing Complaint
(ALJ Apr. 30, 2008) (Joseph E. Kane)
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HTM
- Final Decision and Order (ARB July 30, 2009) PDF | HTM
- Final Decision and Order (ARB July 30, 2009) PDF | HTM
- 2008-SOX-6 Provus v. CRH Public Limited Co./Old Castle, Inc.
- Final Order of Dismissal (ALJ Mar. 10, 2008) (Kenneth A. Krantz)
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HTM
- 2008-SOX-7 Trafter v. Akzo Nobel Coatings, Inc.
- Decision & Order Dismissing the Complaint
(ALJ Jan. 31, 2008) (Bullard)
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HTM
- 2008-SOX-8 Bulls v. Chevron Corp.
- Chevron Global Energy Inc. v. Bulls, No. H-07-3236 and H-06-3810 (S.D.Tx. Dec. 5, 2007) (enjoining the Plaintiff from pursuing SOX
claim before DOL)
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HTM
- Decision & Order of Dismissal (ALJ Dec. 21, 2007) (Lee J. Romero, Jr.) PDF | HTM
- Decision & Order of Dismissal (ALJ Dec. 21, 2007) (Lee J. Romero, Jr.) PDF | HTM
- 2008-SOX-9 Bergman v. Chesapeake Energy Corp.
- Order Staying Proceeding & Compelling Complainant to Arbitrate SOX's Complaint
(ALJ Dec. 19, 2007) (Clement Kennington)
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HTM
- Order Dismissing Claim for Abandonment (ALJ Nov. 19, 2008) PDF | HTM
- Order Dismissing Claim for Abandonment (ALJ Nov. 19, 2008) PDF | HTM
- 2008-SOX-10 Hillenbrand v. Coldwater Creek, Inc.
- Decision and Order Dismissing Complaint
(ALJ Apr. 23, 2010) (Gee)
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HTM
- Final Decision and Order Dismissing Complaint (ARB Sept. 24, 2010) PDF | HTM
- Final Decision and Order Dismissing Complaint (ARB Sept. 24, 2010) PDF | HTM
- 2008-SOX-11 Gross v. United Parcel Service Airline
- Order Approving Settlement & Dismissing Case
(ALJ May 21, 2008) (Larry S. Merck)
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HTM
- 2008-SOX-12 Carciero v. Sodexho Alliance, S.A.
- Decision & Order Granting Summary Decision & Dismissing Complaint
(ALJ Feb. 19, 2009) (Colleen A. Geraghty)
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HTM
- Final Decision and Order Dismissing Appeal (ARB Aug. 14, 2009) PDF | HTM
- Final Decision and Order Approving Settlement and Dismissing Complaint With Prejudice PDF | HTM
- Final Decision and Order Dismissing Appeal (ARB Aug. 14, 2009) PDF | HTM
- 2008-SOX-13 Carciero v. Sodexho Alliance, S.A.
- Decision & Order of Dismissal
(ALJ Mar. 17, 2009) (Colleen A. Geraghty)
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HTM
- 2008-SOX-14 Mandanici v. Enersys, Inc.
- Final Order Approving Withdrawal of Complaint
(ALJ Mar. 25, 2008) (Robert D. Kaplan)
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HTM
- 2008-SOX-15 Kern v. Lancaster Colony Corp.
- Decision & Order Approving Settlement &
Dismissing Complaint & Amended Complaint With Prejudice
(ALJ Oct. 10, 2008) (Michael P. Lesniak)
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HTM
- 2008-SOX-16 Fleszar v. American Medical Association
- Decision & Order Dismissing the Complaint
(ALJ Mar. 4, 2008) (John M. Vittone)
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HTM
- Order of Consolidation & Final Decision and Order (ARB Mar. 31, 2009) PDF | HTML
- [consolidated with 2007-SOX-30]
- Fleszar v. U.S. Dept. of Labor, No. 09-2423 (7th Cir. Mar. 23, 2010) PDF | HTM
- Order of Consolidation & Final Decision and Order (ARB Mar. 31, 2009) PDF | HTML
- 2008-SOX-17 Doherty v. Certified Management, Inc.
- Decision & Order Dismissing Complaint
(ALJ Mar. 4, 2008) (John M. Vittone)
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HTM
- 2008-SOX-18 Messina v. HCA, Inc.
- Order & Summary Decision - Dismissing Complaint
(ALJ Aug. 22, 2008) (Alan L. Bergstrom)
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HTM
- Final Order Dismissing Appeal (ARB Oct. 20, 2008) PDF | HTM
- Final Order Dismissing Appeal (ARB Oct. 20, 2008) PDF | HTM
- 2008-SOX-19 McKenna v. CDC Software, Inc.
- Decision & Order Dismissing Complaint
(ALJ Mar. 13, 2008) (John M. Vittone)
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HTM
- 2008-SOX-20 Trotter v. Johsondiversey, Inc.
- Order Approving Settlement & Dismissing Complaint
(ALJ Apr. 8, 2008) (Richard A. Morgan)
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HTM
- 2008-SOX-21 Garey v. Best Buy, Co., Inc.
- Dismissal Order
(ALJ Feb. 28, 2008) (Richard T. Stansell-Gamm)
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HTM
- 2008-SOX-22 Maguire v. Applied Materials
- Order Approving Withdrawal of Objections to the Secretary's Order & Dismissing the Case
(ALJ Aug. 15, 2008) (Patrick M. Rosenow)
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HTM
- 2008-SOX-23 Hejazinia v. Grub & Ellis Management Services
- Decision & Order Granting Respondent's Motion for Summary
Decision & Dismissing Complaint
(ALJ Aug. 21, 2008) (Daniel A. Sarno, Jr.)
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HTM
- 2008-SOX-25 Hickernell v. Penske Truck Leasing, Inc.
- Decision & Order Dismissing Complaint
(ALJ Apr. 17, 2008) (Paul C. Johnson, Jr.)
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HTM
- Final Decision & Dismissing Petition for Review (ARB Apr. 29, 2009) PDF | HTM
- Final Decision & Dismissing Petition for Review (ARB Apr. 29, 2009) PDF | HTM
- 2008-SOX-26 MacLaughlin v. Penn Treaty Network North America Insurance Co.
- Order Approving Withdrawal of Objections to Assistant Secretary's Findings
(ALJ June 3, 2008) (Adele H. Odegard)
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HTM
- 2008-SOX-27 Whiddon v. CompuCredit Corp.
- Order of Dismissal
(ALJ June 2, 2008) (Larry W. Price)
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HTM
- 2008-SOX-28 Levi v. Anheuser-Busch Companies, Inc.
- Order of Dismissal
(ALJ Apr. 29, 2008) (Alan L. Bergstrom)
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HTM
- Final Decision and Order (ARB Sept. 24, 2009) PDF | HTM
- Levi v. USDOL, No. 09-3656 (8th Cir. Aug. 3, 2010)(per curiam) PDF | HTM
- Levi v. United States of America, No. 12-CV-00635 (D.D.C. Apr. 23, 2012) PDF | HTML
- Final Decision and Order (ARB Sept. 24, 2009) PDF | HTM
- 2008-SOX-29 Haddon v. American Airlines, Inc.
- Order of Withdrawal of Objections to Assistant Secretary's Findings and Order
(ALJ Apr. 29, 2008) (Jeffrey Tureck)
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HTM
- 2008-SOX-30 Siegel v. ABM Janitorial Services, Inc.
- Decision & Order Dismissing the Complainant &
Cancelling Hearing
(ALJ July 1, 2008) (C. Richard Avery)
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HTM
- Final Decision & Order Dismissing Complaint (ARB Nov. 20, 2009) PDF | HTM
- Final Decision & Order Dismissing Complaint (ARB Nov. 20, 2009) PDF | HTM
- 2008-SOX-31 Hemphill v. Celanese Corp.
- Order Dismissing Claim With Prejudice
(ALJ Dec. 12, 2008) (Clement J. Kennington)
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HTM
- Hemphill v. Celanese Corp., No. 08-2131-B (N.D.Tx. Sept. 14, 2009) (Memorandum Order [denying motion to dismiss and granting motion to strike portion of prayer for damages) PDF | HTM
- Hemphill v. Celanese Corp., No. 08-2131-B (N.D.Tx. June 16, 2010) (Memorandum Opinion and Order) PDF | HTM
- Hemphill v. Celanese Corp., No. 10-10746 (5th Cir. June 23, 2011) (unpublished) PDF | HTM
- Hemphill v. Celanese Corp., No. 08-2131-B (N.D.Tx. Sept. 14, 2009) (Memorandum Order [denying motion to dismiss and granting motion to strike portion of prayer for damages) PDF | HTM
- 2008-SOX-32 Hein v. AT&T Operations
- Order of Dismissal
(ALJ Feb. 20, 2009) (Ralph A. Romano)
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HTM
- Hein v. AT&T Operations, Inc., No. 09-291 (D.Colo. Dec. 17, 2010) PDF | HTML
- Hein v. AT&T Operations, Inc., No. 09-291 (D.Colo. Dec. 17, 2010) PDF | HTML
- 2008-SOX-33 Groncki v. AT&T Mobility
- Decision & Order Dismissing Complaint
(ALJ Sept. 17, 2008) (Stephen L. Purcell)
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HTM
- Groncki v. AT&T Mobility LLC, No. 08-02016 (D.D.C. Aug. 4, 2009) PDF | HTM
- Groncki v. AT&T Mobility LLC, No. 08-02016 (D.D.C. Aug. 4, 2009) PDF | HTM
- 2008-SOX-34 Su v. Alliant Energy Corp.
- Recommended Decision & Order Granting Respondents' Motion for Summary Decision
(ALJ June 16, 2008) (Kenneth A. Krantz)
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HTM
- 2008-SOX-35 Bechtel v. Competitive Technologies, Inc.
- Order Dismissing Appeal to OALJ With Prejudice
(ALJ Oct. 29, 2008) (Alice M. Craft)
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HTM
- Competitive Technologies, Inc. v. Bechtel, No. 08-1339 (D.Conn. July 6, 2009) PDF | HTM
- Competitive Technologies, Inc. v. Bechtel, No. 08-1339 (D.Conn. July 6, 2009) PDF | HTM
- 2008-SOX-36 Manly v. CitiGroup, Inc.
- Decision and Order of Dismissal
(ALJ July 20, 2010) (Price)
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HTM
- 2008-SOX-37 Hammond v. Citrix Systems, Inc.
- Order Granting in Part & Denying in Part
Respondent's Motion for Summary Decisin & Dismissing Respondents Scott Allen and Does 1- 50
(ALJ June 11, 2008) (Gerald M. Etchingham)
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HTM
- Decision & Order Approving Settlement Agreement & Dismissing Complaint With Prejudice (ALJ Oct. 29, 2008) PDF | HTM
- Decision & Order Approving Settlement Agreement & Dismissing Complaint With Prejudice (ALJ Oct. 29, 2008) PDF | HTM
- 2008-SOX-38 Frederickson v. American Eagle Airlines, Inc.
- Decision & Order Granting Respondent's Motion for Summary Decision & Dismissing Complaint
(ALJ July 24, 2008) (Thomas F. Phalen, Jr.)
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HTM
- 2008-SOX-39 Drawbaugh v. Psychiatric Solutions, Inc.
- Order Dismissing Claim With Prejudice
(ALJ Sept. 10, 2009) (Russell D. Pulver) (action filed in U.S. District Court for New Mexico)
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HTM
- 2008-SOX-40 Merten v. Berkshire Hathaway, Inc.
- Order Granting Motion to Dismiss
(ALJ Oct. 21, 2008) (Thomas M. Burke)
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HTM
- Decision and Order of Remand (ARB June 16, 2011) PDF | HTM
- Decision and Order of Remand (ARB June 16, 2011) PDF | HTM
- 2008-SOX-41 Bridges v. McDonald's Corp.
- Decision & Order of Dismissal & Order Cancelling Further Proceedings
(ALJ Oct. 21, 2008) (Larry W. Price)
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HTM
- Bridges v. McDonald's Corp., No. 1:09-cv-01880 (N.D.Ill. Dec. 21, 2009) (Memorandum Opinion and Order [dismissing claim as to corporate officer who was not named individually in administrative charge) PDF | HTM
- Bridges v. McDonald's Corp., No. 1:09-cv-01880 (N.D.Ill. Dec. 21, 2009) (Memorandum Opinion and Order [dismissing claim as to corporate officer who was not named individually in administrative charge) PDF | HTM
- 2008-SOX-42 Hoar v. Biogen Idec, Inc.
- Final Order Approving Withdrawal
(ALJ Sept. 25, 2008) (Joseph E. Kane)
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HTM
- 2008-SOX-43 Loftis v. Branch Banking & Trust
- Order of Withdrawal
(ALJ Oct. 28, 2008) (Jeffrey Tureck)
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HTM
- 2008-SOX-44 Johnson v. Ace Limited
- Order of Remand (ALJ July 16, 2008) (Ralph A. Romano)
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HTM
- 2008-SOX-47 Stroupe v. Branch Banking & Trust Co.
- Decision & Order
(ALJ Apr. 1, 2010) (Tureck)
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HTM
- Final Decision and Order Dismissing Appeal (ARB Oct. 29, 2010) PDF | HTM
- Final Decision and Order Dismissing Appeal (ARB Oct. 29, 2010) PDF | HTM
- 2008-SOX-45 Rogers v. Ameriprise Financial Services, Inc.
- Decision & Order Dismissing Complaint (ALJ Sept. 22, 2008) (Alice M. Craft)
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HTM
- 2008-SOX-46 Smith v. Branch Banking & Trust Co.
- Recommended Summary Decision & Order Dismissing Complaint
(ALJ Nov. 3, 2008) (Jeffrey Tureck)
PDF |
HTM
- 2008-SOX-47 Stroupe v. Banking & Trust Co.
- Decision & Order
(ALJ Apr. 1, 2010) (Jeffrey Tureck)
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HTM
- 2008-SOX-48 Hill v. Ricoh Company, Ltd.
- Dismissal Order
(ALJ Oct. 21, 2008) (Richard T. Stansell-Gamm)
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HTM
- Hill v. Ricoh Americas Corp., No. 09-3182 (10th Cir. Apr. 19, 2010) (case below D.C. No. 2:08-cv-02548) PDF | HTM
- Hill v. Ricoh Americas Corp., No. 09-3182 (10th Cir. Apr. 19, 2010) (case below D.C. No. 2:08-cv-02548) PDF | HTM
- 2008-SOX-49 Brown v. Lockheed Martin Corp.
- Recommended Decision & Order
(ALJ Jan. 15, 2010) (Pulver)
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HTM
- Final Decision and Order (ARB Feb. 28, 2011) PDF | HTM
- Appeal filed in the 10th Cir., Lockheed Martin v. USDOL, No. 11-9524
- Final Decision and Order (ARB Feb. 28, 2011) PDF | HTM
- 2008-SOX-50 Helm v. Genesis 10
- Recommended Order Approving Settlement & Dismissing Complaint With Prejudice
(ALJ Oct. 17, 2008) (Daniel L. Leland)
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HTM
- 2008-SOX-51 Avlon v. American Express Co.
- Decision & Order Granting Respondent's Motion for Summary
Decision & Dismissing Complaint (ALJ Sept. 8, 2008) (Janice K. Bullard)
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HTM
- Final Decision and Order of Remand (ARB May 31, 2011) PDF | HTM
- Order Denying Reconsideration (ARB Sept. 14, 2011) PDF | HTM
- Final Decision and Order of Remand (ARB May 31, 2011) PDF | HTM
- 2008-SOX-52 Koch v. Johnson Controls International
- Order Approving Settlement Agreement & Dismissing Complaint With Prejudice
(ALJ May 18, 2009) (Thomas M. Burke)
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HTM
- 2008-STA-53 Bucalo v. United Parcel Service, Inc.
- Decision and Order Granting Respondents'
Motions for Summary Decision on TSCA and SOX Complaints and Recommended Decision and Order
Granting Respondents' Motions for Summary Decision on STAA Complaint
(ALJ May 3, 2010) (Kane)
PDF |
HTM
- Final Decision and Order (ARB Mar. 21, 2012) PDF | HTM
- Final Decision and Order (ARB Mar. 21, 2012) PDF | HTM
- 2008-SOX-54 Shatkowski v. Morgageit
- Decision & Order Approving Settlement
(ALJ Dec. 17, 2008) (Steven B. Berlin)
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HTM
- 2008-SOX-55 Snyder v. Wyeth Pharmaceuticals
- Decision & Order Dismissing Complaint
(ALJ Oct. 1, 2008) (Colleen A. Geraghty)
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HTM
- Final Decision & Order of Remand (ARB Apr. 30, 2009) PDF | HTM
- Final Decision & Order of Remand (ARB Apr. 30, 2009) PDF | HTM
- 2008-SOX-57 Smale v. Torchmark Corp.
- Order on Motion for Summary Decision & Dismissal
(ALJ Oct. 6, 2008) (Patrick M. Rosenow)
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HTM
- Final Decision and Order (ARB Nov. 19, 2009) PDF | HTM
- Order Denying Motion to Rescind Final Decision (ARB Apr. 30, 2010) PDF | HTM
- Final Decision and Order (ARB Nov. 19, 2009) PDF | HTM
- 2008-SOX-58 Paine v. Lawson Software, Inc.
- Order Approving Settlement & Dismissing Case
(ALJ Oct. 6, 2008) (Larry S. Merck)
PDF |
HTM
- 2008-SOX-59 Elizondo v. Texas Health Resources
- Decision & Order of Dismissal
(ALJ Sept. 25, 2008) (Lee J. Romero, Jr.)
PDF |
HTM
- 2008-SOX-60 Jones v. First Horizon National Corp.
- Decision & Order Dismissing the Complaint & Cancelling Hearing
(ALJ Sept. 19, 2008) (C. Richard Avery)
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HTM
- Final Decision and Order (ARB Sept. 30, 2010) PDF | HTM
- Final Decision and Order (ARB Sept. 30, 2010) PDF | HTM
- 2008-SOX-61 Steward v. Kellogg, USA
- Order Granting Respondent's Motion for Summary Decision
(ALJ Oct. 30, 2008) (Adele H. Odegard)
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HTM
- 2008-SOX-62 Kuper v. Micromem Technologies, Inc.
- Order of Dismissal
(ALJ Nov. 25, 2008) (Paul C. Johnson, Jr.)
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HTM
- 2008-SOX-63 Mayer v. Foot Locker, Inc.
- Order Approving Settlement & Dismissing Case
(ALJ Jan. 5, 2009) (Robert B. Rae)
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HTM
- 2008-SOX-64 Vannoy v. Celanese Corp.
- Recommended Decision & Order
Granting Respondent's Motion for Summary Decision
(ALJ June 24, 2009) (Clement J. Kennington)
PDF |
HTM
- Final Decision and Order of Remand (ARB Sept. 28, 2011) PDF | HTM
- Order Denying Reconsideration (ARB Dec. 19, 2011) PDF | HTM
- Final Decision and Order of Remand (ARB Sept. 28, 2011) PDF | HTM
- 2008-SOX-65 Keough v. Surmodics, Inc.
- Order Denying Motion to Reconsider & Decision & Order Dismissing Complaint
(ALJ Dec. 5, 2008) (Robert B. Rae)
PDF |
HTM
- Final Decision and Order Approving Settlement and Dismissing Complaint With Prejudice (ARB Aug. 27, 2009) PDF | HTM
- Final Decision and Order Approving Settlement and Dismissing Complaint With Prejudice (ARB Aug. 27, 2009) PDF | HTM
- 2008-SOX-66 Melton v. Southern Union Co.
- Order of Dismissal
(ALJ Nov. 20, 2008) (Linda S. Chapman)
PDF |
HTM
- 2008-SOX-67 Szudy v. Madison National Life Insurance, Inc.
- Decision & Order Approving Settlement & Dismissing Complaint
& Amended Complaint With Prejudice
(ALJ May 18, 2009) (Michael P. Lesniak)
PDF |
HTM
- 2008-SOX-68 Alberg v. Kenexa Corp.
- Final Order - Settlement Approval & Dismissal of Complaint With Prejudice
(ALJ Dec. 15, 2008) (Richard T. Stansell-Gamm)
PDF |
HTM
- 2008-SOX-69 Roberts v. Weatherford International, Ltd.
- Order Closing File
(ALJ Sept. 25, 2008) (William Dorsey)
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HTM
- 2008-SOX-70 Walters v. Deutsche Bank AG
- Summary Decision
(ALJ Mar. 23, 2009) (Stuart A. Levin) (denying Respondent's motion for summary decision)
PDF |
HTM
- Order Approving Settlement & Dismissing (ALJ July 7, 2009) PDF | HTM
- Final Decision and Order Dismissing Petition for Interlocutory Review (ARB Nov. 13, 2009) PDF | HTM
- Order Approving Settlement & Dismissing (ALJ July 7, 2009) PDF | HTM
- 2008-SOX-71 Conner v. ITT Corp.
- Summary Decision & Order
(ALJ Apr. 10, 2009) (Jeffrey Tureck)
PDF |
HTM
- Final Decision and Order (ARB Sept. 11, 2009) PDF | HTM
- Final Decision and Order (ARB Sept. 11, 2009) PDF | HTM
- 2008-SOX-72 Bernhardt v. Tradition (North America), Inc.
- Order of Withdrawal
(ALJ Aug. 18, 2009) (Jeffrey Tureck)
PDF |
HTM
- 2008-SOX-73 Moldauer v. Canandaigua Wine Co.
- Order Dismissing Complaint
(ALJ Dec. 29, 2008) (Paul C. Johnson, Jr.)
PDF |
HTM
- Final Decision and Order Dismissing Appal (ARB Mar. 9, 2009) PDF | HTML
- Final Decision and Order Dismissing Appal (ARB Mar. 9, 2009) PDF | HTML
- 2008-SOX-74 Talisse v. UBS AG
- Decision & Order Granting Summary Decision & Dismissing Complaint
(ALJ Jan. 8, 2009) (Paul C. Johnson, Jr.)
PDF |
HTM