SARBANES-OXLEY ACT, § 806 

Allstate Ins. Co. v. Zeefe , No. 15-cv-159

  • Memorandum Opinion and Order (E.D. Ky. Mar. 17, 2016) (2016 U.S. Dist. LEXIS 35381; 2016 WL 1071011) PDF

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

Anthony v. Northwestern Mut. Life Insurance Co. , No. 14-cv-1416

  • Memorandum Decision and Order (N.D. N.Y. Sept. 8, 2015) (available at 2015 U.S. Dist. LEXIS 118961; 2015 WL 5226651) PDF
  • Anthony v. Northwestern Mut. Life Insurance Co. , No. 15-2987 (2d Cir. Dec. 14, 2015) (Order [approving stipulation of withdrawal]) PDF

Asadi v. G.E. Energy (USA), LLC , No. 12-20522

  • Opinion (5th Cir. July 17, 2013) PDF

Ashmore v. CGI Group Inc. , No. 11-cv-08611

  • Memorandum & Order (S.D.N.Y. June 12, 2012) PDF

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

Beacom v. Oracle America, Inc.

  • Beacom v. Oracle America, Inc. , No. 13-985 (D. Minn. Mar. 11, 2015) (Memorandum Opinion and Order) PDF
  • Beacom v. Oracle America, Inc. , No. 15-1729 (8th Cir. June 6, 2016) (Opinion) PDF

Bhandari v. Maverick Tube , No. 18-20668

  • Bhandari v. Maverick Tube , No. 18-20668 (5th Cir. Apr. 1, 2019) (per curiam) (unpublished) (2019 U.S. App. LEXIS 9468; 2019 WL 1466956) (Opinion) PDF

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
  • Court's Order Approving Magistrate's Final Report, Recommendation & Order (N.D.Ga. Oct. 16, 2006) PDF

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

Bugtani v. Dish Network, LLC , No. 18-CV-5003

  • Memorandum and Order (E.D. N.Y. July 8, 2019) (2019 U.S. Dist. LEXIS 113680; 2019 WL 2914158) PDF

Busche v. URS Energy and Construction, Inc. , No. 13-cv-5016

  • Order Granting in Part and Denying in Part Plaintiff's Motion to Stay; Denying in Part and Denying as Moot in Part Plaintiff's Second Motion for Protective Order; And Resetting the Hearing on Defendants' Joint Motion to Strike Jury Demand (E.D.Wash. Feb. 21, 2014) (2014 WL 688371) 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

Cloke-Browne v. Bank of Tokyo-Mitsubishi UFJ, Ltd. , No. 10-cv-2249

  • Memorandum Order (S.D.N.Y. Feb. 9, 2011) PDF
  • (sufficient pleading of prima facie case under SOX)

Colesanti v. Dickinson , No. 18-cv-491

  • Colesanti v. Dickinson , No. 18-cv-491 (D. R.I. July 19, 2019) (2019 U.S. Dist. LEXIS 145578) ([Magistrate’s] Redacted Report and Recommendation) PDF
  • Colesanti v. Dickinson , No. 18-cv-491 (D. R.I. Aug. 27, 2019) (2019 U.S. Dist. LEXIS 145185; 2019 WL 4039529) (Order (accepting Report and Recommendation) PDF

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

Connolly v. Remkes

  • Order Granting in Part and Denying in Part Motion to Dismiss, No.: 5:14-cv-01344-LHK (ND Cal. Oct. 28, 2014) (2014 U.S. Dist. LEXIS 153439; 2014 WL 5473144; 2014 BL 305809; 39 IER Cases 443) PDF

Curtis v. Century Surety Co.

  • Order, No. CV 05-1538 (D.Ariz. Aug. 24, 2006) PDF
  • Memorandum, No. 08-16236 (9th Cir. Mar. 23, 2009) (unpublished) PDF

Digital Realty Trust, Inc. v. Somers

  • See Somers v. Digital Realty Trust, Inc. , below.

Ellington v. Giacoumakis , No. 1:13-cv-11791 (D.Mass. Oct. 16, 2013)

  • Memorandum and Order on Defendent's Motion for Judgment on the Pleadings (S.D.N.Y. Oct. 16, 2013) PDF

Erhart v. Bofi Holding, Inc., Nos. 15-cv-02287, 15-cv-02353

  • Order: (1) Granting in Part and Denying in Part Bofi Federal Bank’s Motion for Summary Judgment (ECF No. 127); and (2) Granting in Part and Denying in Part Charles Erhart’s Motion for Summary Judgment (ECF No. 137)  (S.D. Cal. Apr. 2, 2020) (2020 U.S. Dist. LEXIS 58243) PDF

Erhart v. BofI Holding, Inc., Nos. 15-cv-02287 and -02353

  • Order: (1) Granting in Part and Denying in Part BofI Federal Bank’s Motion for Summary Judgment (ECF No. 127); and (2) Granting in Part and Denying in Part Charles Erhart’s Motion for Summary Judgment (ECF No. 137) (S.D. Cal. Mar. 31, 2020) (2020 U.S. Dist. LEXIS 57137) PDF

Erhart v. Bofi Holding, Inc. , Nos. 15-cv-02287 and -02353

  • Order Granting in Part and Denying in Part Motion to Dismiss and Strike Allegations From First Amended Complaint (S.D. Cal. Sept. 11, 2017) (2017 U.S. Dist. LEXIS 147554; 2017 WL 4005434) PDF

Erhart v. Bofi Holding , No. 15-cv-2287

  • Order Granting in Part and Denying in Part Bofi Federal Bank's Motion for Summary Adjudication of Charles Matthew Erhart's Twelfth Through Twenty-Fourth Affirmative Defenses (S.D. Cal. Feb. 14, 2017) (2017 U.S. Dist. LEXIS 20959; 2017 WL 588390) PDF

Erhart v. Bofi Holding , No. 15-cv-02287 (S.D. Cal. Sept. 26, 2016) (2016 U.S. Dist. LEXIS 131761; 2016 WL 5369470)

  • Order Granting in Part and Denying in Part Defendant Bofi Holding, Inc.'s Motion to Dismiss and Motion to Strike (S.D. Cal. Sept. 26, 2016) PDF

Feldman v. Law Enforcement Associates Corp. , No. 5:10-cv-00008

  • Order (E.D.N.C. Mar. 10, 2011) PDF
  • [whether post-employment conduct constitutes protected activity]

Feldman v. Law Enforcement Associates Corp. , No. 13-1849

  • Opinion (4th Cir. May 12, 2014) (2014 WL 1876546) PDF

Garland v. CACI Intl 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

Gauthier v. The Shaw Group, Inc. , No. 3:12-cv-00274

  • Order (W.D.N.C. Dec. 4, 2012) PDF

Genberg v. Porter , No. 16-1368

  • Order [panel rehearing] (10th Cir. Apr. 19, 2018) PDF
  • Opinion (10th Cir. Feb. 22, 2018) PDF

Genberg v. Porter , No. 11-cv-02434

  • Order of Dismissal (D.Colo. July 27, 2018) PDF
  • Order on Motion for Summary Judgment (D.Colo. Aug. 11, 2016) PDF

Genberg v. Porter , No. 3:12-cv-00274

  • Order (D.Colo. Mar. 25, 2013) PDF

Gibney v. Evolution Marketing Research, LLC , No. 14-1913

  • Memorandum Opinion (E.D.Pa. June 11, 2014) (2014 WL 2611213) PDF

Gladitsch v. Neo@Ogilvy , No. 11-919

  • Memorandum and Order (S.D.N.Y. Mar. 21, 2012) (denying motion to dismiss) PDF

Grissom v. The Mills Corp. , No. 07-1777

  • Opinion (4th Cir. Dec. 3, 2008) (case below E.D.Va. 1:06-cv-00961) PDF

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
  • Guyden v. Aetna, Inc. , No. 06-4954-cv (2d Cir. Oct. 2, 2008) PDF

Haley v. Merial, Ltd.

  • Haley v. Merial, Ltd. , No. 4:09-CV-94 (N.D.Miss. July 7, 2010) PDF

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. No. 04-cv-951

  • Harp v. Charter Communications, Inc. , No. 04-cv-951 (S.D.Ill. Jan. 22, 2007) PDF

Harp v. Charter Communications, Inc. No. 07-1445

  • Harp v. Charter Communications, Inc. , No. 07-1445 (7th Cir. Mar. 16, 2009) PDF

Hill v. Komatsu America Corp. , 14-cv-2098

  • Memorandum Opinion and Order (N.D. Ill. Aug. 26, 2015) (2015 U.S. Dist. LEXIS 116611; 2015 WL 5162129) PDF

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

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

Jaludi v. Citigroup, No. 15-cv-02076

  • Report and Recommendation (M.D. Pa. Aug. 12, 2020) (2020 U.S. Dist. LEXIS 145740) PDF
  • Memorandum [adopting Report and Recommendation] (M.D. Pa. Dec. 3, 2020) (2020 U.S. Dist. LEXIS 226805)  PDF

Jaludi v. Citigroup , No. 16-3577

  • Opinion of the Court (3rd Cir. Aug. 6, 2019) (2019 U.S. App. LEXIS 23464; 2019 WL 3558978) PDF

JDS Unifphase Corp. v. Jennings , No. 1:06-CV-00200

  • Memorandum Opinion (E.D.Va. Feb. 5, 2007) PDF
  • Memorandum Opinion (E.D.Va. Feb. 7, 2007) PDF

Jones v. Adams, No. 19-cv-979

  • Opinion and Order (W.D. OK. Jan. 15, 2020) (2020 U.S. Dist. LEXIS 6867; 2020 WL 236740) PDF

Jones v. Smartvideo Technologies, Inc. , No. 1:06-CV-2760

  • Opinion and Order (N.D.Ga. June 4, 2007) PDF

Jones v. Southpeak Interactive Corp. of Delaware , No. 3:12cv443

  • Memorandum and Opinion (E.D.Va. Oct. 30, 2013) (2013 WL 5874619) (deciding motion for pre- and post-judgment interest) PDF
  • Memorandum and Opinion (E.D.Va. Nov. 19, 2013) (deciding motion for front pay) PDF
  • Jones v. Southpeak Interactive Corp. of Delaware , No. 13-2399 (4th Cir. Jan. 26, 2015) PDF

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

Kolchinsky v. Moody's Corp. , No. 1:10-CV-6840

  • Opinion and Order (S.D.N.Y. Feb. 28, 2012) PDF
  • Memorandum and Order (S.D. N.Y. Feb. 4, 2016) (2016 U.S. Dist. LEXIS 13531) PDF

Lebron v. American International Group , No. 1:09-cv-04285

  • Opinion and Order (S.D.N.Y. Oct. 19, 2009) PDF

Leshinsky v. Televent GIT, S.A. , No. 1:10-CV-4511

  • Memorandum Opinion and Order (S.D.N.Y. July 9, 2012) PDF
  • Memorandum Opinion and Order (S.D.N.Y. May 1, 2013) (2013 WL 1811877) PDF

Lutzeier v. Citigroup, Inc. , No. 14-cv-183

  • Memorandum and Order (E.D.Mo. Mar. 9, 2015) (2015 WL 1033696; 2015 U.S. Dist. LEXIS 28231) PDF
  • Memorandum and Order (E.D.Mo. Mar. 2, 2015) (2015 WL 892565; 2015 U.S. Dist. LEXIS 24608) PDF

Malin v. Siemens Medical Solutions Health Services , No. 8:07-cv-01896

  • Memorandum Opinion (D.Md. Aug. 13, 2009) PDF

Mann v. Gannett Co., Inc. , No. 2:06-CV-0088

  • Opinion (M.D.Ala. June 8, 2007) PDF

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
  • Order accepting Magistrate's Report and Recommendation (D.S.C. Mar.15, 2011) PDF
  • [SOX claim dismissed because plaintiff filed in district court only 64 days after filing the complaint with the Department of Labor]

McEuen v. Riverview Bancorp, Inc. , No. 3:12-CV-05997

  • Order Denying Defendants' Motion for Summary Judgment (W.D.Wash. Dec. 19, 2013) PDF

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

Morrison v. MacDermid, Inc. , No. 07-cv-01535

  • Order (D.Colo. Sept. 16, 2008) PDF

Murray v. UBS Securities, LLC , No. 14-cv-927

  • Opinion and Order (S.D.N.Y. Feb. 24, 2015) (2015 WL 769586; 2015 U.S. Dist. LEXIS 22024) PDF
  • Opinion and Order [on Attorneys' Fee Petition] (S.D. N.Y. Dec. 16, 2020) PDF

Murray v. UBS Securities, LLC , No. 12-cv-05914

  • Order granting Defendants' motion to compel arbtritration and to stay proceeding (SDNY Jan. 27, 2014) (2014 WL 285093) PDF

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
  • [whether plaintiff engaged in SOX protected activity in support of State action for wrongful termination]

Neal v. Asta Funding, Inc. , No. 13-cv-2438

  • Opinion (D.N.J. Dec. 4, 2013) PDF

Newman v. Lehman Bros. Holdings , No. 15-2239

  • Opinion (1st Cir. Aug. 20, 2018) PDF

Newman v. Metropolitan Life Ins. Co. , No. 12-10078

  • Memorandum and Order (D.Mass. Mar. 8, 2013) PDF

Nhira v. Thompson Hospitality , No. 14-cv-676 (D. Md. Sept. 8, 2016) (2016 U.S. Dist. LEXIS 121187; 2016 WL 4699414)

  • Memorandum (D. Md. Sept. 8, 2016) PDF
  • Appeal filed in the 4th Cir., No. 16-2106

Nieman v. Nationwide Mutual Insurance Co. , No. 09-3304

  • Opinion (C.D.Ill. Apr. 8, 2010) PDF

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

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

Pezza v. Investors Capital Corp , No. No. 10-10113

  • Memorandum and Order (D. Mass. Mar. 1, 2011) PDF
  • [whether the ban on pre-dispute arbitration agreements imposed by the Dodd-Frank Act regarding SOX whistleblower protection applies retroactively]

Puffenbarger v. Engility Corp. , No. 15-cv-188

  • Memorandum Opinion (E.D. Va. Dec. 31, 2015) (2015 U.S. Dist. LEXIS 173764) PDF

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

Rhinehimer v. U.S. Bancorp Investments, Inc. , No. No. 13-6641

  • Opinion (6th Cir. May 28, 2015) PDF

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

Riel v. Morgan Stanley , No. 06-cv-05801

  • Opinion (S.D.N.Y. Aug. 6, 2009) PDF

Rock v. Lifeline Systems Co. , No. 13-11833

  • Memorandum and Order (D. Mass. Apr. 22, 2014) (2014 U.S. Dist. LEXIS 55611; 2014 WL 1652613) PDF
  • Memorandum and Order Re: Defendant's Motion for Summary Judgment (D. Mass. Oct. 23, 2015) (2015 U.S. Dist. LEXIS 144335; 2015 WL 6453139) PDF

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
  • Order of Dismissal (N.D.Cal. Sept. 12, 2006) [No. C05-2473] PDF

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

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

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

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
  • Opinion (S.D. N.Y. Aug. 19, 2011) PDF
  • Order (S.D. N.Y. Oct. 9, 2013) PDF
  • Order [granting defendant's motion for summary judgment] (S.D.N.Y. Dec. 12, 2013) (2013 U.S. Dist. LEXIS 183168; 2013 WL 10796833) PDF
  • Summary Order (2d Cir. Oct. 9, 2014) (580 Fed. Appx. 28; 2014 U.S. App. LEXIS 19251) (vacating Dist. Court's Dec. 12, 2013 order, and remanding) PDF
  • Mandate [vacating district court judgment and remanding for further proceedings] (2d Cir. Oct. 30, 2014) PDF
  • Opinion [granting defendant's motion for summary judgment] (S.D. N.Y. Oct. 9, 2015) (2015 U.S. Dist. LEXIS 138357) PDF
  • Summary Decision (2d Cir. Sept. 12, 2016) PDF

Sherman v. Dallas ISD , No. 10-cv-1146

  • Magistrate's recommendation (N.D.Tx. Jan. 24, 2011) PDF
  • Order accepting Magistrate's recommendation (N.D.Tx. Feb. 8, 2011) PDF
  • [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
  • [Decision] (11th Cir. Dec. 21, 2009) (per curiam) (unpublished) (affirming district court) PDF
  • Order (N.D.Fla. Mar. 12, 2010) (attorney fees) PDF

Smith v. Psychiatric Solutions, Inc. , No. 13-12785

  • Opinion (11th Cir. May 6, 2014) (2014 WL 1775875) PDF

Somers v. Digital Realty Trust Inc. , No. 15-17352

  • Opinion (9th Cir. Mar. 8, 2017) (2017 U.S. App. LEXIS 4079; 2017 WL 908245) PDF
  • Digital Realty Trust, Inc. v. Somers , Opinion, No. 16-1276 (U.S. Feb. 21, 2018) (2018 U.S. LEXIS 1377; 2018 WL 987345) PDF
  • [Editor's note: This is a Dodd-Frank Act, 15 U.S.C. 78u-6(h) case, but it discusses SOX, 18 U.S.C. 1514A]
  •  

Sturdivant v. Chem. Waste Mgmt., No. 19-cv-1129

  • Memorandum Opinion and Order (N.D. Ala. Mar. 4, 2020) (2020 U.S. Dist. LEXIS 38264; 2020 WL 1083212) PDF

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

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

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

Tolliver v. Trinity Par. Found. , No. 14-cv-1021

  • Memorandum Opinion (D. Del. Aug. 2, 2017) (2017 U.S. Dist. LEXIS 121764; 2017 WL 3288119) PDF

Trapp v. Chrysalis Ctr., No. 19-cv-01372

  • Order Granting Unopposed Motion to Dismiss  (D. Conn. Apr. 13, 2020) (2020 U.S. Dist. LEXIS 64188) PDF

Trusz v. UBS Realty Investors, LLC , No. 3:09-cv-268

  • Ruling on Motion to Dismiss (D.Conn. Mar. 30, 2010) | HTM
  • Ruling on Cross Motions for Summary Judgment (D.Conn. Mar. 25, 2016) PDF
  • Amended Ruling on Cross Motions for Summary Judgment (D.Conn. Apr. 18, 2016) PDF

Tumban v. Biomerieux, Inc. , No. 1:06CV00442

  • Memorandum Opinion (M.D.N.C. Mar. 13, 2007) PDF

Van Asdale v. International Game Technology , No. 3:04-CV-00703-RAM

  • Memorandum Decision & Order (D. Nev. June 13, 2007) PDF
  • Order [denying reconsideration] (D. Nev. Aug. 10, 2007) PDF
  • Order [Denying Motion For Terminating Sanctions] (D. Nev. Dec. 8, 2009) PDF
  • Order [on Motions for Summary Judgment] (D. Nev. Dec. 8, 2009) PDF
  • Memorandum Decision and Order (D. Nev. Apr. 8, 2010) PDF
  • Memorandum Decision and Order (D. Nev. May 24, 2011) PDF
  • 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

Van Elswyk v. RBS Secs. , No. 15-cv-1844

  • Ruling Re: Motion for Summary Judgment (Doc. No. 44) (D. Conn. Aug. 9, 2017) (2017 U.S. Dist. LEXIS 125886; 2017 WL 3431395) PDF

Verfuerth v. Orion Energy Systems, Inc.

  • Verfuerth v. Orion Energy Systems, Inc. , No. 10-cv-08278 No. 14-C-352 (E.D. Wisc. Aug. 25, 2016) PDF
  • Verfuerth v. Orion Energy Systems, Inc. , 879 F.3d 789 (7th Cir. Jan. 11, 2018) (No. 16‐35020 (Opinion) PDF

Villanueva v. U.S. Dep't of Labor , No. 12-60122

  • Opinion (5th Cir. Feb. 12, 2014) (2014 WL 550817) PDF

Wadler v. Bio-Rad Laboratories, Inc. , No. 15-cv-2356

  • Order Granting in Part and Denying in Part Defendants' Motion to Dismiss (N.D. Cal. Oct. 23, 2015) (2015 U.S. Dist. LEXIS 144468; 2015 WL 6438670) PDF
  • Order Denying Defendants' Renewed Motion for Judgment as a Matter of Law Pursuant to Fed. R. Civ. P. 50(B) and Motion for New Trial Pursuant to Fed. R. Civ. P. 59 (N.D. Cal. May 10, 2017) (2017 U.S. Dist. LEXIS 71532; 2017 WL 1910057) PDF

Westawski v. Merck & Co., Inc. , No. 14-3239

  • Opinion (E.D. Pa. Oct. 18, 2016) (2016 U.S. Dist. LEXIS 144234; 2016 WL 6082633) PDF
  • Opinion (E.D. Pa. Feb. 4, 2015) (2015 WL 463949; 2015 U.S. Dist. LEXIS 13363) PDF
  • Appeal filed in the Third Circuit.

Wiest v. Lynch

  • Wiest v. Lynch , No. 10-3288 (E.D .Pa. July 21, 2011) (Memorandum) (2011 U.S. Dist. LEXIS 79283) PDF
  • Wiest v. Lynch , No. 10-3288 (E.D. Pa. Nov. 16, 2011) (Memorandum [decision on reconsideration) (2011 WL 5572608) PDF
  • Wiest v. Lynch , 710 F.3d 121 (3d Cir. Mar. 19, 2013) (Opinion of the Court) (No. 11-4257) (2013 WL 1111784; 2013 U.S. App. LEXIS 5345) PDF
  • Wiest v. Lynch , No. 10-3288 (E.D. Pa. Apr. 16, 2014) (Memorandum Opinion) (2014 WL 1490250) PDF
  • Wiest v. Tyco Electronics Corp. , No. 10-3288 (E.D. Pa. Apr. 13, 2015) (Memorandum) (2015 WL 1636860; 2015 U.S. Dist. LEXIS 47935) PDF
  • Wiest v. Tyco Electronics Corp. , No. 15-2024 (3d Cir. Feb. 2, 2016) (Opinion of the Court) (2016 U.S. App. LEXIS 1730) PDF
  • Wiest v. Tyco Elecs. Corp. , No. 15-1429 (U.S. Oct. 3, 2016) (cert. denied)

Wiggins v. ING U.S., Inc. , No. 14-cv-1089

  • Ruling Re: Defendants' Motion to Stay (Doc. No. 13) and Defendants' Motion to Dismiss (Doc. No. 14) (2015 U.S. Dist. LEXIS 78129) PDF
  • Ruling Re: Motion for Reconsideration (Doc. No. 47); Motion to Dismiss (Doc. No. 50); Motion to Stay (Doc. No. 51; Motion to Stay (Doc. No. 72) (D. Conn. Dec. 15, 2015) (2015 U.S. Dist. LEXIS 167362; 2015 WL 8779559) PDF

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

Wingard v. Countrywide Home Loans, Inc. , No. 2:07cv904-MHT

  • Opinion (M.D.Ala. Sept. 18, 2008) PDF

Wood v. Dow Chem. Co. , No. 14-cv-13049

  • Opinion and Order Denying Defendant's Motion to Dismiss (E.D.Mich. Dec. 15, 2014) (2014 U.S. Dist. LEXIS 172675) PDF

Wutherich v. Rice Energy Inc., No. 18-cv-00200

  • Report and Recommendation (W.D. Pa. May 5, 2020) (2020 U.S. Dist. LEXIS 80333) PDF
  • Memorandum Order [adopting Magistrate’s recommendation] (W.D. Pa. June 8, 2020) PDF

Yang v. Navigators Group, Inc. , No. 13-cv-02073

  • Memorandum Opinion and Order (S.D.N.Y. May 8, 2014) (18 F.Supp.3d 519; 2014 WL 1870802) PDF
  • Opinion and Order (S.D.N.Y. Jan. 4, 2016) (155 F.Supp.3d 327) (vacated and remanded by 674 Fed.Appx. 13 (2d Cir. Dec. 22, 2016)
  • Summary Order (2d Cir. Dec. 22, 2016) (674 Fed.Appx. 13)
  • Opinion and Order (S.D. N.Y. May 18, 2017) (2017 U.S. Dist. LEXIS 75990) PDF
  • Stipulation of Dismissal with Prejudice (S.D. N.Y. June 21, 2017) PDF

Zeefe , No. 15-cv-159

  • See Allstate Ins. Co. v. Zeefe , above.