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ARTICLE · 11 SEPTEMBER 2015

Second Circuit Rules Internal Whistleblowers Are Protected Under Dodd-Frank

Littler Mendelson
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This circuit split increases the likelihood that the U.S. Supreme Court will enter the arena and make a decision on what many have called ambiguous language in the statute.

United StatesEmployment and HR
Littler Mendelson, P.C.
Littler Mendelson, P.C.
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The U.S. Court of Appeals for the Second Circuit created a federal appellate split today when it revived a Dodd-Frank Act retaliation claim by an ex-finance director, who was responsible for the company's financial reporting and compliance with accounting standards.  The court held that he was protected even though he only raised claims of accounting fraud internally with his employer, but did not report them to the Securities and Exchange Commission (SEC or the Commission) before he was terminated.  The decision in Berman v. Neo @ Ogilvy LLC, No. 14-4626 (2d Cir. 2015), conflicts with the Fifth Circuit ruling in Asadi v. G.E. Energy (USA), L.L.C., 720 F.3d 620 (5th Cir. 2013) that only individuals who report directly to the SEC may bring retaliation claims under Dodd-Frank.

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