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
  • 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 |
  • 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 |

2009-SOX-3 Reamer v. Ford Motor Co.

  • Summary Decision, Order Dismissing Complaint as Untimely (ALJ Jan. 13, 2009) (Robert B. Rae) PDF
  • 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

2009-SOX-5 Steiman v. WPP Group PLC

  • Order of Dismissal (ALJ Jan. 5, 2009) (Ralph A. Romano) PDF

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 |
  • 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

2009-SOX-8 O'Malley v. United Services Automobile Association

  • Decision & Order of Dismissal (ALJ Jan. 30, 2009) (Lee J. Romero, Jr.) PDF

2009-SOX-9 Kao v. St. Jude Medical, Inc.

  • Order Closing File (ALJ Dec. 9, 2008) (Larry S. Merck) PDF

2009-SOX-10 Bui v. Wells Fargo Bank

  • Decision & Order Approving Settlement (ALJ Feb. 11, 2009) (Steven B. Berlin) PDF

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

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

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

2009-SOX-14 Fore v. Michelin North America, Inc.

  • Order Dismissing Claim With Prejudice (ALJ June 4, 2009) (Clement J. Kennington) PDF

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

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
  • Perez v. Progenics Pharaceuticals, Inc. , No. 10-cv-8278 (S.D.N.Y. June 24, 2015) (Memorandum and Order [ruling on motions for limine]) PDF
  • Perez v. Progenics Pharaceuticals, Inc. , No. 10-cv-8278 (S.D.N.Y. July 2, 2015) (Order [denying reconsideration]) PDF

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
  • Order Denying Motion to Reconsider (ALJ Jan. 14, 2010) PDF
  • 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
  • Order Denying Motion for Enlargement of Time to File Petition for Interlocutory Review (ARB July 16, 2012) PDF | HTM
  • Final Decision and Order (ARB Feb. 22, 2013) 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

2009-SOX-20 Hyman v. KD Resources

  • Decision & Order Dismissing Complaint As Untimely (ALJ Mar. 18, 2009) (Larry W. Price) PDF
  • Decision and Order of Remand (ARB Mar. 31, 2010) PDF | HTM
  • Decision & Order on Remand Dismissing Complaint As Untimely (ALJ Sept. 16, 2010) PDF

2009-SOX-21 Ta v. BabyCenter, LLC

  • Decision & Order of Dismissal & Order Cancelling Hearing (ALJ Jan. 21, 2009) (Gerald M. Etchingham) PDF

2009-SOX-22 Field v. Water

  • Decision & Order Granting Summary Decision (ALJ May 8, 2009) (Steven B. Berlin) PDF
  • 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

2009-SOX-24 Phillips v. Water

  • Decision & Order Granting Summary Decision (ALJ May 8, 2009) (Steven B. Berlin) PDF
  • 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
  • Decision and Order of Remand (ARB Mar. 28, 2012) PDF | HTM
  • Decision and Order on Remand (ALJ Nov. 19, 2012) PDF
  • Final Decision and Order (ARB Dec. 17, 2013) PDF | HTM

2009-SOX-26 Matthews v. Ametek, Inc.

  • Order of Dismissal (ALJ Mar. 11, 2011) (Rosenow) PDF
  • 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
  • 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

2009-SOX-29 Mallory v. Morgan Chase & Co.

  • Order Denying Cross-Motions for Summary Decision (ALJ Nov. 20, 2009) (Dorsey) PDF
  • 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
  • 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
  • Order Denying Sanctions and Dismissal (ALJ June 25, 2010) PDF
  • Decision and Order (ALJ Mar. 22, 2012) PDF

2009-SOX-30 Brueckner v. Sinclair Broadcast Group

  • Order Approving Settlement & Dismissing Complaint With Prejudice (ALJ June 17, 2009) (Richard A. Morgan) PDF

2009-SOX-31 Stormo v. First Data Corporation

  • Order Approving Parties' Agreement and Dismissing Pending Action With Prejudice (ALJ Mar. 9, 2010) (Odegard) PDF

2009-SOX-32 Jones v. Home Federal Bank

  • Order Approving Settlement & Dismissing Complaint With Prejudice (ALJ June 22, 2009) (Steven B. Berlin) PDF
  • 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

2009-SOX-34 Westphal v. Metavante Technologies, Inc.

  • Order Approving Settlement (ALJ Aug. 24, 2009) (Jeffrey Tureck) PDF

2009-SOX-35 Wincher v. Dynacq Healthcare, Inc.

  • Order Granting Joint Stipulation of Dismissal (ALJ May 19, 2009) (C. Richard Avery) PDF

2009-SOX-36 Migliorato v. American International Group, Inc.

  • Final Order Approving Voluntary Dismissal (ALJ May 20, 2009) (Daniel F. Sutton) PDF

2009-SOX-37 Lefkowitz v. Community Bancorp, Inc.

  • Order of Dismissal (ALJ July 8, 2009) (Pulver) PDF

2009-SOX-38 Mahmood v. Advanced Micro Devices, Inc.

  • Order Dismissing Claim With Prejudice (ALJ May 12, 2010) (Kennington) PDF

2009-SOX-39 Trent v. Brooke Corp.

  • Order Returning File (ALJ Apr. 8, 2009) (Chapman) PDF

2009-SOX-40 Charles v. Profit Investment Management

  • Decision and Order Granting Summary Decision & Dismissing Complaint (ALJ Feb. 16, 2010) (Johnson) PDF
  • 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

2009-SOX-41 Johnson v. Ace Limited

  • Recommended Decision and Order (ALJ Jan. 27, 2010) (Romano) PDF
  • 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
  • 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
  • Order Approving Settlement Agreement and Dismissing SOX Complaints With Prejudice (ALJ May 2, 2013) PDF

2009-SOX-44 Greene v. Omni Visions, Inc.

  • Order of Dismissal (ALJ June 19, 2009) (Alan L. Bergstrom) PDF
  • 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

2009-SOX-46 Field v. BKD, LLP

  • Decision & Order Granting Summary Decision & Modifying Caption (ALJ Aug. 7, 2009) (Steven B. Berlin) PDF
  • 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

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

2009-SOX-50 Ayoubi v. Fujitsu Network Communications

  • Order Granting Motion for Summary Decision (ALJ Oct. 13, 2009) (Lee J. Romero, Jr.) PDF

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
  • 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

2009-SOX-52 Goodale v. Pepsico, Inc.

  • Order of Dismissal (ALJ Nov. 30, 2009) (Rosenow) PDF

2009-SOX-53 Nommensen v. Northstar Financial

  • Order Remanding Case to OSHA (ALJ Sept. 17, 2009) (Jennifer Gee) PDF

2009-SOX-54 Surguladze v. UBS Investment Bank

  • Order of Dismissal (ALJ Jan. 27, 2010) (Vittone) PDF

2009-SOX-55 Sisk v. ERMC2

  • Order (ALJ July 16, 2009) (C. Richard Avery) PDF

2009-SOX-56 Crosier v. The Boeing Co.

  • Order Dismissing Claim as Untimely (ALJ Dec. 2, 2009) (William Dorsey) PDF

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
  • 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

2009-SOX-59 Goodell v. Red Cedar Gathering Co.

  • Decision and Order Dismissing Complaint PDF

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

2009-SOX-61 Adams v. Tyson Foods, Inc.

  • Order Dismissing Complaint (ALJ Oct. 14, 2009) (Paul C. Johnson, Jr.) PDF
  • 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

2009-SOX-63 Haleem v. Prudential Financial

  • Order Approving Parties' Agreement; and Dismissing Pending Action With Prejudice (ALJ Aug. 30, 2010) (Odegard) PDF

2009-SOX-64 Ferrante v. The Connecticut Light & Power Co.

  • Order of Dismissal (ALJ July 30, 2010) (Geraghty) PDF

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
  • 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