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DOL Home > OALJ > Whistleblower > Whistleblower Caselist 2009 SOX
USDOL/OALJ Reporter: Whistleblower Decisions
SARBANES-OXLEY ACT, § 806
2009-SOX

2009-SOX-1 Butler v. Anadarko Petroleum Corp.
Decision & Order Dismissing Complaint & Order Cancelling Hearing (ALJ Dec. 30, 2008) (Larry W. Price) PDF | HTM
Final Decision and Order of Remand (ARB Feb. 17, 2011) PDF | HTM
Decision and Order on Remand Dismissing Complaint As Untimely and Dismissing Complaint for Failure to Participate in Discovery (ALJ Jan. 31, 2012) PDF | HTM
Final Decision and Order (ARB June 15, 2012) PDF | HTM

2009-SOX-2 Martin v. Bank of America Corp.
Final Order Approving Voluntary Withdrawal of Objections & Dismissing Reqeust for Hearing (ALJ June 23, 2009) (Daniel F. Sutton) PDF | HTM

2009-SOX-3 Reamer v. Ford Motor Co.
Summary Decision, Order Dismissing Complaint as Untimely (ALJ Jan. 13, 2009) (Robert B. Rae) PDF | HTM
Final Decision and Order (ARB July 21, 2011) PDF | HTM
Reamer v. USDOL, No. 11-3965 (6th Cir. Nov. 14, 2012) (denying petition for review) PDF

2009-SOX-4 Bourgeois v. United Rentals, Inc.
Order Approving Complainant's Request for Withdrawal & Cancelling Hearing (ALJ Mar. 16, 2009) (Patrick M. Rosenow) PDF | HTM

2009-SOX-5 Steiman v. WPP Group PLC
Order of Dismissal (ALJ Jan. 5, 2009) (Ralph A. Romano) PDF | HTM

2009-SOX-6 Villanueva v. Core Laboratories NV Saybolt de Columbia Limitada
Decision & Order Dismissing Case for Lack of Jurisdiction (ALJ June 10, 2009) (Jonathan C. Calianos) PDF | HTM
Final Decision and Order (ARB Dec. 22, 2011) (en banc) PDF | HTM

2009-SOX-7 Paolino v. Mace Security International, Inc.
Order of Dismissal (ALJ Jan. 11, 2011) (Geraghty) PDF | HTM

2009-SOX-8 O'Malley v. United Services Automobile Association
Decision & Order of Dismissal (ALJ Jan. 30, 2009) (Lee J. Romero, Jr.) PDF | HTM

2009-SOX-9 Kao v. St. Jude Medical, Inc.
Order Closing File (ALJ Dec. 9, 2008) (Larry S. Merck) PDF | HTM

2009-SOX-10 Bui v. Wells Fargo Bank
Decision & Order Approving Settlement (ALJ Feb. 11, 2009) (Steven B. Berlin) PDF | HTM

2009-SOX-11 Gloss v. Marvell Semiconductor, Inc.
Order Granting Respondent's Motion for Summary Decision (ALJ June 24, 2009) (Gerald M. Etchingham) PDF | HTM
Order Denying Petition for Review (ARB Jan. 13, 2010) PDF | HTM
Decision and Order Approving Settlement Agreement and Dismissing SOX Complaint With Prejudice (ALJ Mar. 23, 2010) PDF | HTM

2009-SOX-12 Liebchen v. Charles Schwab and Co., Inc.
Decision & Order Approving Settlement & Dismissing Complaint With Prejudice (ALJ Jan. 14, 2009) (Colleen A. Geraghty) PDF | HTM

2009-SOX-13 Werling v. Charles Schwab and Co., Inc.
Decision & Order Approving Settlement & Dismissing Complaint With Prejudice (ALJ Jan. 14, 2009) (Colleen A. Geraghty) PDF | HTM

2009-SOX-14 Fore v. Michelin North America, Inc.
Order Dismissing Claim With Prejudice (ALJ June 4, 2009) (Clement J. Kennington) PDF | HTM

2009-SOX-15 Litwiller v. Dana Driveshaft Manufacturing
Decision & Order Approving the Complainant's Request for Withdrawal, Dismissing the Claim With Prejudice (ALJ Aug. 28, 2009) (Alice M. Craft) PDF | HTM

2009-SOX-16 Fisher v. Wells Fargo & Co.
Order Approving Settlement & Dismissing Complaint With Prejudice (ALJ July 2, 2009) (Anne Beytin Torkington) PDF

2009-SOX-17 Perez v. Progenics Pharmaceuticals, Inc.
Order Dismissing Complaint (ALJ Oct. 6, 2010) (case removed to district court) PDF | HTM

2009-SOX-18 Mara v. Sempra Energy Trading, LLC
Order Granting Respondent's Motion for Summary Decision (ALJ Oct. 5, 2009) (Jonathan C. Calianos) PDF | HTM
Order Denying Motion to Reconsider (ALJ Jan. 14, 2010) PDF | HTM
Decision and Order of Remand (ARB June 28, 2011) PDF | HTM
Order Denying Interlocutory Review (ARB Jan. 31, 2012) PDF | HTM
Order Denyng Reconsideration of Request for Interlocutory Review (ARB Mar. 20, 2012) PDF | HTM
Order of Dismissal & Cancelling Hearing (ALJ July 11, 2012) PDF | HTM
Order Denying Motion for Enlargement of Time to File Petition for Interlocutory Review (ARB July 16, 2012) PDF | HTM

2009-SOX-19 Nash v. Bearpoint, Inc.
Decision & Order Dismissing the Complaint Due to the Bankruptcy of the Respondent (ALJ Apr. 15, 2011) (Krantz) PDF | HTM

2009-SOX-20 Hyman v. KD Resources
Decision & Order Dismissing Complaint As Untimely (ALJ Mar. 18, 2009) (Larry W. Price) PDF | HTM
Decision and Order of Remand (ARB Mar. 31, 2010) PDF | HTM
Decision & Order on Remand Dismissing Complaint As Untimely (ALJ Sept. 16, 2010) PDF | HTM

2009-SOX-21 Ta v. BabyCenter, LLC
Decision & Order of Dismissal & Order Cancelling Hearing (ALJ Jan. 21, 2009) (Gerald M. Etchingham) PDF | HTM

2009-SOX-22 Field v. Water
Decision & Order Granting Summary Decision (ALJ May 8, 2009) (Steven B. Berlin) PDF | HTM
Order of Consolidation and and Final Decision and Order (ARB May 26, 2011) PDF | HTM

2009-SOX-23 Koklefsky v. Madison National Life Insurance Co., Inc.
Final Order Approving Settlement - Dismissal of Complaint With Prejudice (ALJ June 18, 2009) (Richard T. Stansell-Gamm) PDF | HTM

2009-SOX-24 Phillips v. Water
Decision & Order Granting Summary Decision (ALJ May 8, 2009) (Steven B. Berlin) PDF | HTM
Order of Consolidation and and Final Decision and Order (ARB May 26, 2011) PDF | HTM

2009-SOX-25 Zinn v. American Commercial Lines
Decision & Order (ALJ Nov. 5, 2009) (Lee J. Romero, Jr.) PDF | HTM
Decision and Order of Remand (ARB Mar. 28, 2012) PDF | HTM
Decision and Order on Remand (ALJ Nov. 19, 2012) PDF | HTM

2009-SOX-26 Matthews v. Ametek, Inc.
Order of Dismissal (ALJ Mar. 11, 2011) (Rosenow) PDF | HTM
Final Decision and Order (ARB May 31, 2012) PDF | HTM

2009-SOX-27 Reid v. The Boeing Co.
Decision and Order Dismssing Complaint (ALJ May 28, 2010) (Etchingham) PDF | HTM
Final Decision and Order (ARB Mar. 30, 2012) PDF | HTM

2009-SOX-28 McCormick v. Limited Brands, Inc.
Order Dismissing Complaint (ALJ Mar. 5, 2009) (Daniel F. Sutton) (removal to district court) PDF | HTM

2009-SOX-29 Mallory v. Morgan Chase & Co.
Order Denying Cross-Motions for Summary Decision (ALJ Nov. 20, 2009) (Dorsey) PDF | HTM
Order Establishing Complainant‘s Authorship of E-Mails, Denying the Admission of the Complainant‘s Deposition, Returning Sealed Psychological Evaluation and Setting Agenda for Post-Hearing Conference (ALJ June 25, 2010) PDF | HTM
Order Setting Post-Trial Hearing, Denying Certification under 29 C.F.R. § 18.29(B), and Clarifying Standard for Dismissal under 29 C.F.R. § 18.6(D)(2) and 29 C.F.R. § 18.29(A) (ALJ Aug. 2, 2010) PDF | HTM
Order Denying Sanctions and Dismissal (ALJ June 25, 2010) PDF | HTM
Decision and Order (ALJ Mar. 22, 2012) PDF | HTM

2009-SOX-30 Brueckner v. Sinclair Broadcast Group
Order Approving Settlement & Dismissing Complaint With Prejudice (ALJ June 17, 2009) (Richard A. Morgan) PDF | HTM

2009-SOX-31 Stormo v. First Data Corporation
Order Approving Parties' Agreement and Dismissing Pending Action With Prejudice (ALJ Mar. 9, 2010) (Odegard) PDF | HTM

2009-SOX-32 Jones v. Home Federal Bank
Order Approving Settlement & Dismissing Complaint With Prejudice (ALJ June 22, 2009) (Steven B. Berlin) PDF | HTM
Jones v. Home Federal Bank, No. 09-cv-00336-CWD (D.Idaho Jan. 14, 2010) (Memorandum Decision and Order) PDF | HTM
Jones v. Home Federal Bank, No. 09-cv-00336-CWD (D.Idaho Mar. 17, 2010) (Memorandum Decision and Order) PDF | HTM
Jones v. Home Federal Bank, No. 09-cv-00336-CWD (D.Idaho Apr. 12, 2010) (Order for Dismissal With Prejudice) PDF | HTM

2009-SOX-33 Deguelle v. S.C. Johnson & Son, Inc.
Order Granting Motions to Withdraw (ALJ June 5, 2009) (Daniel F. Solomon) PDF | HTM

2009-SOX-34 Westphal v. Metavante Technologies, Inc.
Order Approving Settlement (ALJ Aug. 24, 2009) (Jeffrey Tureck) PDF | HTM

2009-SOX-35 Wincher v. Dynacq Healthcare, Inc.
Order Granting Joint Stipulation of Dismissal (ALJ May 19, 2009) (C. Richard Avery) PDF | HTM

2009-SOX-36 Migliorato v. American International Group, Inc.
Final Order Approving Voluntary Dismissal (ALJ May 20, 2009) (Daniel F. Sutton) PDF | HTM

2009-SOX-37 Lefkowitz v. Community Bancorp, Inc.
Order of Dismissal (ALJ July 8, 2009) (Pulver) PDF | HTM

2009-SOX-38 Mahmood v. Advanced Micro Devices, Inc.
Order Dismissing Claim With Prejudice (ALJ May 12, 2010) (Kennington) PDF | HTM

2009-SOX-39 Trent v. Brooke Corp.
Order Returning File (ALJ Apr. 8, 2009) (Chapman) PDF | HTM

2009-SOX-40 Charles v. Profit Investment Management
Decision and Order Granting Summary Decision & Dismissing Complaint (ALJ Feb. 16, 2010) (Johnson) PDF | HTM
Decision and Order of Remand (ARB Dec. 16, 2011) PDF | HTM
Order Approving Settlement and Dismissing Complaint (ALJ Jan. 7, 2013) (sub. nom. Lewis v. Profit Investment Management). PDF | HTM

2009-SOX-41 Johnson v. Ace Limited
Recommended Decision and Order (ALJ Jan. 27, 2010) (Romano) PDF | HTM
Final Decision and Order (ARB Jan. 30, 2012) PDF | HTM

2009-SOX-42 Perez v. H&R Block, Inc.
Order Dismissing for Lack of Jurisdiction (ALJ Dec. 1, 2009) (Odegard) PDF | HTM
Final Decision and Order Dismissing Appeal (ARB Mar. 18, 2010) PDF | HTM

2009-SOX-43 Fernandez v. Navistar International Corp.
Order Granting Complainant's Motion to Compel (ALJ Oct. 16, 2009) (Larry S. Merck) PDF | HTM
Order Denying Petition for Interlocutory Review (ARB Mar. 4, 2010) PDF | HTM

2009-SOX-44 Greene v. Omni Visions, Inc.
Order of Dismissal (ALJ June 19, 2009) (Alan L. Bergstrom) PDF | HTM
Final Decision and Order (ARB Mar. 9, 2011) PDF | HTM
Decision and Order Denying Motion for Reconsideration (ARB Apr. 4, 2011) PDF | HTM
Greene v. USDOL, Administrative Review Board, No. 11-1550 (4th Cir. Nov. 15, 2011) (unpublished) PDF | HTM

2009-SOX-45 Gonzalez v. Tyler Technologies, Inc.
Order of Dismissal (ALJ May 19, 2009) (Larry W. Price) PDF | HTM

2009-SOX-46 Field v. BKD, LLP
Decision & Order Granting Summary Decision & Modifying Caption (ALJ Aug. 7, 2009) (Steven B. Berlin) PDF | HTM
Final Decision and Order (ARB May 27, 2011) PDF | HTM

2009-SOX-47 Terbeest v. Crdentia Corp.
Decision & Order Approving Settlement & Dismissing Complaint (ALJ Oct. 8, 2009) (Joseph E. Kane) PDF

2009-SOX-48 Haucke v. Laboratory Corporation of America Holdings
Decision & Order Approving Settlement & Cancelling Scheduled Hearing (ALJ Dec. 7, 2009) (Kenneth A. Krantz) PDF | HTM

2009-SOX-49 Smith v. Chase Investment Services Corp.
Order of Summary Decision Dismissing Complaint & Request for Hearing (ALJ July 30, 2009) (Janice K. Bullard) PDF | HTM

2009-SOX-50 Ayoubi v. Fujitsu Network Communications
Order Granting Motion for Summary Decision (ALJ Oct. 13, 2009) (Lee J. Romero, Jr.) PDF | HTM

2009-SOX-51 Mann v. Fifth Third Bancorp
Order Dismissing Complaint (ALJ July 21, 2009) (Paul C. Johnson, Jr.) (complaint re-filed in U.S. District Court for the Southern District of Ohio) PDF | HTM
Mann v. Fifth Third Bank, Nos. 1:09–cv–014, 1:09–cv–476 (S.D. Ohio Apr. 25, 2011) (not reported) (available at 2011 WL 1575537, 2011 U.S. Dist. LEXIS 44853) (Order That Defendants' Motion for Summary Judgment (Doc. 41) Is Granted) PDF | HTM

2009-SOX-52 Goodale v. Pepsico, Inc.
Order of Dismissal (ALJ Nov. 30, 2009) (Rosenow) PDF | HTM

2009-SOX-53 Nommensen v. Northstar Financial
Order Remanding Case to OSHA (ALJ Sept. 17, 2009) (Jennifer Gee) PDF | HTM

2009-SOX-54 Surguladze v. UBS Investment Bank
Order of Dismissal (ALJ Jan. 27, 2010) (Vittone) PDF | HTM

2009-SOX-55 Sisk v. ERMC2
Order (ALJ July 16, 2009) (C. Richard Avery) PDF | HTM

2009-SOX-56 Crosier v. The Boeing Co.
Order Dismissing Claim as Untimely (ALJ Dec. 2, 2009) (William Dorsey) PDF | HTM

2009-SOX-57 Miller v. Stifel, Nicolaus & Company, Inc.
Order Denying Respondent's Motion to Preclude Complainant From Filing in U.S. District Court; Denying Respondent's Motion to Stay; Dismissing the Complaint; and Cancelling Hearing (ALJ Mar. 10, 2010) (Rae) PDF | HTM
Miller v. Stifel, Nicholaus & Co., Inc., No. 08-2826 (D.Minn. Sept. 20, 2011) (Memorandum Opinion and Order) PDF

2009-SOX-58 Fiorenza v. Briggs & Stratton Corp.
Order Approving Settlement Agreement and Dismissing Complaint With Prejudice (ALJ Dec. 20, 2010) (Burke) PDF | HTM

2009-SOX-59 Goodell v. Red Cedar Gathering Co.
Decision and Order Dismissing Complaint PDF | HTM

2009-SOX-60 Elbertson v. Chevron U.S.A. Inc.
Order Dismissing Claim With Prejudice Due to Filing of Notice of Intent to File Complaint in Federal Court (ALJ Jan. 8, 2010) (Kennington) PDF | HTM

2009-SOX-61 Adams v. Tyson Foods, Inc.
Order Dismissing Complaint (ALJ Oct. 14, 2009) (Paul C. Johnson, Jr.) PDF | HTM
Final Decision and Order Granting Motion to Withdraw Complaint (ARB Feb. 16, 2010) PDF | HTM

2009-SOX-62 Briski v. Brad Foote Gear Works and Broadwind Energy, Inc.
Decision and Order Granting Summary Decision and Dismissing Complaint (ALJ Oct. 22, 2009) (Robert B. Rae) PDF | HTM

2009-SOX-63 Haleem v. Prudential Financial
Order Approving Parties' Agreement; and Dismissing Pending Action With Prejudice (ALJ Aug. 30, 2010) (Odegard) PDF | HTM

2009-SOX-64 Ferrante v. The Connecticut Light & Power Co.
Order of Dismissal (ALJ July 30, 2010) (Geraghty) PDF | HTM

2009-SOX-65 Barker v. UBS AG
Order Dismissing the Appeal & Request for Hearing (ALJ Dec. 28, 2009) (Bullard) (relinquishing jurisdiction to Connecticut federal district court). PDF | HTM
Barker v. UBS AG, No. 3:09-cv-2084 (D.Conn. Jan. 26, 2011) (ruling on motion to dismiss; plaintiff establish prima facie SOX claim) PDF | HTM
Barker v. UBS AG, No. 3:09-CV-2084 (D.Conn. May 22, 2012) (ruling on Defendant's motion for summary judgment) PDF | HTM