USDOL/OALJ Reporter: Whistleblower Decisions
SARBANES-OXLEY ACT, § 806
2013-SOX

2013-SOX-1 Witbeck v. CH2M Hill Ltd.

  • Decision and Order (ALJ July 24, 2015) (Berlin) PDF
  • Final Decision and Order (ARB Mar. 15, 2017) PDF (USDOL/OALJ Reporter) | PDF (slip opinion)
  • Witbeck v. USDOL , No. 17-71397 (9th Cir. May 22, 2018) (2018 U.S. App. LEXIS 13308; 2018 WL 2308657) (unpublished) PDF

2013-SOX-2 Kitchen v. Wellpoint Companies, Inc.

  • Dismissal Order (ALJ Jan. 30, 2014) (Dorsey) PDF

2013-SOX-3 Howarth v. Agrium, Inc.

  • Decision and Order Granting Summary Decision (ALJ Jan. 2, 2014) (Berlin) PDF

2013-SOX-4 Vasquez v. Leap Wireless

  • Order Approving Settlement (ALJ Dec. 16, 2013) (Clark) PDF

2013-SOX-5 Lucas v. Second Harvest Food Bank of Metrolina Inc.

  • Order of Dismissal Due to Lack of Jurisdiction (ALJ Mar. 1, 2013) (Krantz) PDF

2013-SOX-6 Elmborg v. Cura Script, (a subsidiary of Express Scripts, Inc.)

  • Order of Dismissal and Cancellation of Hearing (ALJ Feb. 14, 2013) (Henley) PDF

2013-SOX-7 Bond v. The Boeing Co.

  • Decision and Order Approving Settlement (ALJ Aug. 13, 2013) (Berlin) PDF

2013-SOX-8 Rocheleau v. Microsemi Corp., Inc.

  • Dismissal Order (ALJ Nov. 14, 2013) (Dorsey) (complaint filed in U.S. District Court for Central District of California, 13-cv-01774) PDF
  • Rocheleau v. Microsemi Corp., Inc., , No. 13-cv-1774 (C.D. Cal. Mar. 2, 2015) (Order Granting in Part Defendant's Motion for Partial Summary Judgment and Denying Plaintiff's Motion for Partial Summary Judgment) [dismissing SOX and state law causes of action] PDF
  • Rocheleau v. Microsemi Corp., Inc., , No. 13-cv-1774 (C.D. Cal. June 26, 2015) (Order Granting Defendant's Motion for Partial Summary Judgment) [dismissing Dodd-Frank Act cause of action] PDF
  • Rocheleau v. Microsemi Corp., Inc. , No. 15-56029 (9th Cir. Feb. 21, 2017) (Memorandum) (unpublished) (2017 U.S. App. LEXIS 2964; 2017 WL 677563) PDF

2013-SOX-9 Miller v. Educational Sales Marketing, LLC

  • Decision and Order Approving Settlement Agreement and Dismissing Complaint With Prejudice (ALJ July 24, 2013) (Calianos) PDF

2013-SOX-10 Rafidi v. Xerox

  • Order Dismissing Case (ALJ Feb. 14, 2013) (Kirby) PDF

2013-SOX-11 Robinson v. First United Security Bank

  • Order Granting Joint Motion for Dismissal With Prejudice (ALJ Nov. 13, 2013) (Rosenow) PDF

2013-SOX-12 Sanni v. The Washington Post

  • Dismissal by Reason of Abandonment - Cancellation of Hearing (ALJ Apr. 10, 2013) (Reilly) PDF

2013-SOX-13 Meyer v. Portage Rayovac

  • Order of Dismissal (ALJ Dec. 5, 2013) (Solomon) PDF

2013-SOX-14 Fernandez v. Navistar International Corp.

  • Order Approving Settlement Agreement and Dismissing Sox Complaints With Prejudice (ALJ May 2, 2013) (Merck) PDF

2013-SOX-15 Fernandez v. Navistar International Corp.

  • Order Approving Settlement Agreement and Dismissing Sox Complaints With Prejudice (ALJ May 2, 2013) (Merck) PDF

2013-SOX-16 Meadows v. American Airlines, Inc.

  • Order Dismissing Complaint (ALJ July 18, 2017) (Romero) PDF

2013-SOX-17 Kilpatrick v. Citigroup, Inc.

  • Decision and Order (ALJ Nov. 1, 2013) (Kennington) PDF

2013-SOX-18 Valenzuela v. Weatherford International, Ltd.

  • Order Approving Settlement Agreement and Dismissing With Prejudice (ALJ Dec. 4, 2013) (Price) PDF

2013-SOX-19 Stewart v. Lockheed Martin Aeronautics Co.

  • Decision and Order (ALJ Jan. 24, 2014) (Price) PDF
  • Final Decision and Order (ARB Sept. 10, 2015) PDF

2013-SOX-20 Fordham v. Freddie Mac

  • Order of Dismissal (ALJ Aug. 19, 2013) (Almanza) (complainant filed action U.S. District Court for the Eastern District of Virginia) PDF
  • Fordham v. Freddie Mac , No. 13-cv-910 (E.D. Va. Apr. 10, 2014) (Order [striking, inter alia, SOX and Dodd-Frank causes of action]) PDF
  • Fordham v. Freddie Mac , No. 14-1458 (4th Cir. Aug. 21, 2014) (Order [dismissing interlocutory appeal for lack of jurisdiction]) PDF
  • Fordham v. Freddie Mac , No. 13-cv-910 (E.D. Va. Oct. 1, 2014) (Judgment by the Clerk [Plaintiff accepted Defendant's Office of Judgment under FRCP 68]) PDF

2013-SOX-21 Bermudez v. Anadarko Petroleum Corp.

  • Order Approving Confidential Settlement Agreement and Dismissing With Prejudice (ALJ Oct. 18, 2013) (Rosenow) PDF

2013-SOX-22 Gunn v. Unisys Corp.

  • Decision and Order Dismissing Complaint (ALJ Jan. 4, 2016) (Odegard) PDF

2013-SOX-23 Kelley v. AGL Resources, Inc.

  • Decision and Order Approving Settlement Agreement and Dismissing Complaint With Prejudice (ALJ Feb. 24, 2014) (Chapman) PDF

2013-SOX-24 Getting v. Starwood Hotels and Resorts Worldwide

  • Order Granting Complainant's Request to Withdraw Complaint and Order Dismissing the Complaint (ALJ May 6, 2014) (Bergstrom) PDF

2013-SOX-25 Papazoff v. Suntrust Banks, Inc.

  • Order of Dismissal (ALJ May 23, 2013) (Purcell) PDF

2013-SOX-26 Neal v. Asta Funding Inc.

  • Order Granting Complainant's Motion to Dismiss (ALJ June 21, 2013) (Harris) PDF
  • Neal v. Asta Funding, Inc. , No. 13-3438 (D.N.J. Dec. 4, 2013) PDF
  • Neal v. ASTA Funding, Inc. , No. 13-3438 (D.N.J. Feb. 9, 2019) (Opinion) PDF

2013-SOX-27 Campana v. GMAC

  • Order Dismissing Claim (ALJ Dec. 29, 2015) (Price) PDF

2013-SOX-28 Bogenschneider v. Kimberly-Clark Global Sales, LLC

  • Decision and Order Dismissing the Complaint (ALJ Oct. 23, 2014) (Henley) PDF
  • Bogenschneider v. Kimberly Clark Global Sales, LLC , No. 14-cv-743 (W.D. Wis. Jan. 14, 2015) (2015 U.S. Dist. LEXIS 4383) (Order) PDF
  • Bogenschneider v. Kimberly Clark Global Sales, LLC , No. 14-cv-743 (W.D. Wis. Feb. 25, 2015) (2015 U.S. Dist. LEXIS 22377) (Opinion and Order) PDF
  • Bogenschneider v. Kimberly Clark Global Sales, LLC , No. 14-cv-743 (W.D. Wis. June 29, 2015) (2015 WL 3948137; 2015 U.S. Dist. LEXIS 83827) (Opinion and Order) PDF

2013-SOX-29 Pittman v. Siemans AG

  • Order of Dismissal with Prejudice and Sanctions (ALJ Mar. 27, 2014) (Dorsey) PDF
  • Order Denying Petition for Interlocutory Review (ARB Mar. 18, 2014) PDF
  • Order Dismissing Complaint (ARB June 5, 2014) PDF

2013-SOX-30 Pittman v. Seyfarth Shaw, LLP

  • Final Order of Dismissal with Prejudice (ALJ Apr. 3, 2014) (Dorsey) PDF

2013-SOX-31 Pittman v. Arias, Ozzello & Gignac, LLP

  • Order of Dismissal with Prejudice (ALJ Apr. 2, 2014) (Dorsey) PDF

2013-SOX-32 Pittman v. Manatt, Phelps & Phillips, LLP

  • Final Order of Dismissal with Prejudice (ALJ Apr. 3, 2014) (Dorsey) PDF

2013-SOX-33 Pittman v. Yoh Services, LLP

  • Final Order of Dismissal with Prejudice (ALJ Apr. 3, 2014) (Dorsey) PDF

2013-SOX-34 Pittman v. TEG Staffing, Inc.

  • Order of Dismissal with Prejudice and Sanctions (ALJ Apr. 3, 2014) (Dorsey) PDF

2013-SOX-35 Pittman v. Bank of America, N.A.

  • Order of Dismissal with Prejudice and Sanctions (ALJ Apr. 3, 2014) (Dorsey) PDF

2013-SOX-36 Pittman v. Spiro Moore, LLP

  • Final Order of Dismissal with Prejudice(ALJ Apr. 3, 2014) (Dorsey) PDF

2013-SOX-37 Pittman v. Dell, Inc.

  • Order of Dismissal with Prejudice and Sanctions (ALJ Apr. 2, 2014) (Dorsey) PDF

2013-SOX-38 Pittman v. KForce, Inc.

  • Final Order of Dismissal with Prejudice (ALJ Apr. 3, 2014) (Dorsey) PDF

2013-SOX-39 Pittman v. Citi Bank, N.A.

  • Final Order of Dismissal with Prejudice (ALJ Apr. 3, 2014) (Dorsey) PDF

2013-SOX-40 Pittman v. U.S. Equal Employment Opportunity Commission

  • Order of Dismissal with Prejudice (ALJ Apr. 2, 2014) (Dorsey) PDF

2013-SOX-41 Bebo v. Assisted Living Concepts, Inc.

  • Dismissal With Prejudice and Cancellation of Hearing (ALJ Nov. 4, 2013) (Reilly) (approval of settlement agreement) PDF

2013-SOX-42 Folger v. SimplexGrinnell, LLC

  • Recommended Decision and Order Denying Claim (ALJ Dec. 10, 2014) (Chapman) PDF
  • Final Decision and Order (ARB Feb. 18, 2016) PDF

2013-SOX-43 Davis v. Education Management Corp.

  • Order Dismissing Matter (ALJ Oct. 22, 2013) (Clark) (notice of intent to file in federal district court) PDF
  • Davis v. Education Management Corp. , No. 14-cv-4777 (N.D. Cal. Dec. 4, 2015) (Order Granting Defendant's Motion to Dismiss for Failure to Prosecute) PDF

2013-SOX-44 Pittman v. Panasonic Corp.

  • Order of Dismissal with Prejudice (ALJ Apr. 2, 2014) (Dorsey) PDF

2013-SOX-45 Hartzman v. Wells Fargo Advisors, LLC

  • Order Dismissing the Complaint Due to the Filing of an Action in District Court (ALJ Oct. 3, 2014) (Krantz) PDF
  • Memorandum Opinion and Order (M.D.N.C. Mar. 19, 2015) (2015 WL 1268267; 2015 U.S. Dist. LEXIS 33945) PDF

2013-SOX-46 Fuqua v. SVOX AG

  • Order Granting Summary Judgment (ALJ Nov. 27, 2013) (Purcell) PDF
  • Erratum (ALJ Dec. 3, 2013) PDF
  • Fuqua v. SVOX AG , No. 14-cv-00216 (N.D.Ill. Aug. 1, 2014) (granting defendant's motion to dismiss complaint) PDF
  • Final Order Closing Case (ARB Aug. 27, 2014) PDF
  • Fuqua v. SVOX AG , No. 14-cv-00216 (N.D. Ill. May 24, 2016) (2016 WL 2986971; 2016 U.S. Dist. LEXIS 67661) (Order dismissing amended complaint) PDF

2013-SOX-47 Hill v. Jackson National Life Insurance Co.

  • Decision and Order Dismissing Complaint (ALJ Mar. 14, 2016) (Almanza) PDF
  • Order Dismissing Appeal (ARB Nov. 7, 2017) PDF (USDOL/OALJ Reporter) | PDF (slip opinion)

2013-SOX-48 DeSesso v. Microsoft Corp.

  • Order Approving Settlement Agreement and Dismissing Complaint (ALJ May 2, 2014) (Purcell) PDF

2013-SOX-49 Jefferson v. Fannie Mae

  • Order Granting Leave to Amend Complaint and Decision and Order to Dismiss the Complaint (ALJ Feb. 27, 2014) (Kennington) PDF
  • Order Dismissing Complaint (ARB Mar. 20, 2014) PDF

2013-SOX-50 Oberti v. The Signature Condominiums, LLC d/b/a the Signature at MGM Grand, and MGM MIrage

  • Order Denying Summary Decision, Denying Stay of Order of Reinstatement, Denying Sanctions, and Denying Continuance (ALJ Jan 14, 2014) (Berlin) PDF
  • Order Approving Settlement, Dismissing Claim, and Acknowledge Request Re FOIA Notice (ALJ Sept. 17, 2014) PDF

2013-SOX-51 Stephenson v. Boucher Ventures, Inc.

  • Decision and Order Approving Settlement Agreement and Dismissing Complaint (ALJ June 17, 2015) (Lakes) PDF