SARBANES-OXLEY ACT, § 806 - 2010-SOX

2010-SOX-1 Paradiso v. Tyson Foods, Inc.

  • Order Granting Respondent's Motion to Dismiss (ALJ Feb. 2, 2010) (Price) PDF

     

2010-SOX-2 Lyon v. Canadian National Railroad Co.

  • Order of Dismissal (ALJ Nov. 10, 2010) (Timlin) PDF

     

2010-SOX-3 Prioleau v. Sikorsky Aircraft Corp.

  • Decision and Order Granting Summary Decision and Dismissing Complaint (ALJ Feb. 3, 2010) (Sutton) PDF |
  • Final Decision and Order of Remand (ARB Nov. 9, 2011) PDF | HTM
  • Order Denying Interlocutory Review (ARB Aug. 30, 2012) PDF | HTM
  • Decision and Order Dismissing Complaint (ALJ Sept. 18, 2012) PDF
  • Final Decision and Order (ARB Apr. 30, 2013) PDF | HTM
  • Order Denying Motion for Reconsideration (ARB May 29, 2013) PDF | HTM

     

2010-SOX-4 Falcon-Rodriguez v. Hertz Corp.

  • Order Dismissing Complaint (ALJ Jan. 19, 2010) (Johnson) PDF

     

2010-SOX-5 Millan v. AIG, Inc.

  • Decision and Order Dismissing Complaint Without Prejudice (ALJ July 16, 2010) (Calianos) PDF

     

2010-SOX-6 Sanchez-Russell v. Kindred Healthcare

  • Decision and Order Granting Respondent's Motion for Summary Decision and Dismissing Complaint (ALJ Apr. 30, 2010) (Torkington) PDF

     

2010-SOX-7 Anderson v. Schering-Plough Corporate World Headquarters

  • Order of Dismissal (ALJ Feb. 9, 2010) (Romano) PDF
  • Final Decision and Order Approving Settlement and Dismissing Complaint With Prejudice (ARB Jan. 31, 2011) PDF | HTM

     

2010-SOX-8 Linden v. Kowabunga, Inc.

  • Final Decision and Order Approving Settlement and Dismssing Case With Prejudice (ALJ June 16, 2010) (Purcell) PDF

     

2010-SOX-9 Moldauer v. Canandaigua Wine Co.

  • Order Dismissing Complaint (ALJ Jan. 28, 2010) (Johnson) PDF
  • Notification to Parties That Case Has Not Been Accepted for Review (ARB Mar. 9, 2010) PDF | HTM
  • Moldauer v. Constellation Brands Inc. , No. 14-1984 (D.D.C. Apr. 3, 2015) (Memorandum Opinion and Order) PDF

     

2010-SOX-10 Sanders v. American Tower Corporation

  • Order of Dismissal (ALJ Mar. 9, 2010) (Sarno) PDF

     

2010-SOX-11 Henderson v. Masco Framing Corp.

  • Henderson v. Masco Framing Corp. , No. 11-cv-00088 (D.Nev. July 22, 2011) (SOX claims is arbitrable; Dodd-Frank amendments are not retroactive) PDF
  • Decision and Order Dismissing Complaint (ALJ June 23, 2014) (Berlin) PDF

     

2010-SOX-12 Hudes v. The International Bank for Reconstruction & Development

  • Decision and Order Dismissing Complaint (ALJ Feb. 22, 2010) (Johnson) PDF
  • Hudes v. Aetna Life Insurance Co. , No. 1:10-cv-01444 (D.D.C. 2011) (Memorandum Opinion) PDF
  • Hudes v. Aetna Life Insurance Co. , No. 11-7109 (C.A.D.C. Nov. 20, 2012) (Judgment [affirming district court]) PDF

     

2010-SOX-13 Beach v. Tyson Foods, Inc.

  • Order of Dismissal (ALJ Mar. 25, 2010) (Rosenow) PDF

     

2010-SOX-14 Hylton v. The Seminole Tribe of Florida

  • Decision and Order Dismissing Complaint (ALJ Mar. 1, 2010) (Purcell) PDF
  • Final Decision and Order (ARB Oct. 31, 2011) PDF | HTM

     

2010-SOX-15 Brantley v. Wal-Mart Stores, Inc.

  • Order Granting Respondent's Motions to Dismiss Appeals of Sarah Brantley, Rouzbeth Hashemi and David Peterson (ALJ Mar. 12, 2010) (Romero) PDF

     

2010-SOX-16 Hashemi v. Wal-Mart Stores, Inc.

  • Order Granting Respondent's Motions to Dismiss Appeals of Sarah Brantley, Rouzbeth Hashemi and David Peterson (ALJ Mar. 12, 2010) (Romero) PDF

     

2010-SOX-17 Peterson v. Wal-Mart Stores, Inc.

  • Order Granting Respondent's Motions to Dismiss Appeals of Sarah Brantley, Rouzbeth Hashemi and David Peterson (ALJ Mar. 12, 2010) (Romero) PDF

     

2010-SOX-18 Turin v. AmTrust Financial Services, Inc.

  • Decision and Order Granting Respondent's Motion to Dismiss the Complaint (ALJ June 30, 2011) (Timlin) PDF
  • Final Decision and Order of Remand (ARB Mar. 29, 2013) PDF | HTM
  • Decision and Order Dismissing Interlocutory Review (ARB Apr. 20, 2017) PDF (USDOL/OALJ Reporter) | PDF (slip opinion)

     

2010-SOX-19 Vroom v. General Electric Co.

  • Order Granting Requests for Reconsideration, and for Summary Judgment (ALJ June 25, 2010) (Chapman) PDF
  • Final Decision and Order Dismissing Complaint (ARB Nov. 8, 2010) PDF | HTM

     

2010-SOX-20 Horan v. Wachovia Bank/Wells Fargo

  • Decision and Order Granting Respondents' Motion for Summary Decision (ALJ Apr. 23, 2010) (Sarno) PDF

     

2010-SOX-21 Romero v. The Coca Cola Co.

  • Order Dismissing Complant (ALJ Apr. 7, 2010) (Purcell) PDF
  • Final Decision and Order (ARB Sept. 30, 2010) PDF | HTM

     

2010-SOX-22 Kim v. The Boeing Company

  • Decision and Order Granting Motion for Reconsideration of Waiver Provision in 4/12/10 Order and Subsequent 4/20/10 Order and Order Dismissing Case and Cancelling Hearing (ALJ Sept. 14, 2010) (Etchingham) PDF |
  • Kim v. The Boeing Co. , No. C10-1850RSM (W.D.Wash. Sept. 23, 2011) (Order Granting Motion for Summary Judgment) PDF
  • Kim v. The Boeing Co. , No. 11-35879 (9th Cir. Oct. 25, 2012) (Memorandum) PDF

     

2010-SOX-23 Geraghty v. GMR Marketing, LLC

  • Order Dismissing Complant (ALJ Apr. 27, 2010) (Johnson) PDF

     

2010-SOX-24 Brittain v. Tyson Foods

  • Decision and Order Dismissing the Complant and Cancelling Hearing (ALJ Apr. 1, 2010) (Avery) PDF

     

2010-SOX-25 Becker v. GMS Marketing, LLC

  • Order of Dismissal (ALJ Apr. 27, 2010) (Burke) PDF

     

2010-SOX-26 Surguladze v. UBS Investment Bank and UBS AG

  • Decision and Order Approving Settlement and Dismissing Complaint With Prejudice (ALJ June 9, 2010) (Bullard) PDF

     

2010-SOX-27 Lewis v. Walt Disney World

  • Decision and Order Granting Respondent's Motion for Summary Decision (ALJ May 25, 2010) (Sarno) PDF
  • Final Decision and Order (ARB Jan. 27, 2012) PDF | HTM

     

2010-SOX-28 Harvey v. Space Sysems/Loral

  • Decision and Order Dismissing Claim (ALJ Apr. 28, 2010) (Craft) PDF

     

2010-SOX-29 Spinner v. David Landau & Associates, LLC

  • Recommended Summary Decision Dismissing Complaint (ALJ June 2, 2010) (Romano) PDF
  • Final Decision and Order of Remand (ARB May 31, 2012) PDF | HTM
  • Order Approving Settlement Agreement (ALJ Apr. 16, 2014) PDF
  • Order Granting Parties' Joint Motion for Dismissal With Prejudice (ALJ Feb. 27, 2015) PDF

     

2010-SOX-30 Fagan v. Mass Mutual Life Investors Services, Inc.

  • Order Granting Respondent's Motion to Dismiss and Cancelling Hearing (ALJ May 19, 2010) (Calianos) PDF

     

2010-SOX-31 Barrett v. E-Smart Technologies, Inc.

  • Decision and Order (ALJ Sept. 9, 2011) (Berlin) PDF
  • Final Order Approving Withdrawal of Respondent's Petition for Review and Dismissing Appeal (ARB Nov. 30, 2011) PDF | HTM
  • Final Decision and Order (ARB Apr. 25, 2013) PDF | HTM
  • Order Awarding Attorney's Fees (ARB July 11, 2013) PDF | HTM

     

2010-SOX-32 Xie v. Hospira, Inc.

  • Order of Dismissal (ALJ Sept. 14, 2010) (Solomon) PDF
  • Xie v. Hospira, Inc. , No. 10-cv-06777 (N.D. Ill. Apr. 27, 2011) (Memorandum Opinion and Order) (discovery issues) PDF
  • Xie v. Hospira, Inc. , No. 10-cv-06777 (N.D. Ill. Sept. 2, 2011) (Memorandum Opinion and Order) (summary judgment) PDF

     

2010-SOX-33 Fort v. Tennessee Commerce Bancorp, Inc.

  • Solis v. Tennessee Commerce Bancorp, Inc. , No. 3:10-cv-00472 (M.D.Tenn. May 19, 2010) (Memorandum) (order granting Secretary of Labor's motion for TRO and preliminary order requiring Defendant to comply with Secretary's preliminary orders) PDF | HTM
  • Order Dismissing Complaint (ALJ Oct. 15, 2010) (Sarno) (removed to federal court) PDF

     

2010-SOX-34 Sherman v. Allstate Corp.

  • Decision and Order Dismissing Complaint (ALJ Aug. 8, 2014) (Kirby) PDF

     

2010-SOX-35 Stein v. CME Group, Inc.

  • Final Order - Approval of Settlement and Withdrawal of Objections, and Dismissal of Complaint With Prejudice (ALJ Oct. 13, 2010) (Stansell-Gamm) PDF

     

2010-SOX-36 Wong v. CXK, Inc.

  • Decision and Order (ALJ Sept. 13, 2011) (Romano) (complaint filed in S.D.N.Y.) PDF
  • Wong v. CKX, Inc. , No. 11-cv-6291 (S.D.N.Y. Sept. 11, 2012) (Opinion and Order) PDF

     

2010-SOX-37 Johnson v. U.S. Bancorp/U.S. Bank National Association

  • Order Denying Petition for Interlocutory Review (ARB Mar. 14, 2011) PDF | HTM
  • Decision and Order (ALJ Oct. 29, 2012) (Kennington) PDF
  • Johnson v. U.S. Bancorp , No. 2:11-cv-2010 (W.D. Wash. Dec. 18, 2012) (Order Granting in Part and Denying in Part Defendant's Motion to Dismiss or, in the Alternative, Motion to Strike) PDF
  • Johnson v. U.S. Bancorp , No. 2:11-cv-2010 (W.D. Wash. Dec. 18, 2012) (Order Granting in Part and Denying in Part Non-Party Christopher Heman and Defendants' Motion for a Protective Order Re AT&T Subpoena) PDF
  • Order Denying Respondent U.S. Bank's Motion for Stay of Preliminary Order of Reinstatement Pending Appeal (ARB May 21, 2013) PDF | HTM
  • Final Decision and Order Approving Settlement and Dismissing Complaint With Prejudice (ARB July 22, 2013) PDF | HTM

     

2010-SOX-38 Johnson v. The Wellpoint Companies, Inc.

  • Order Granting Respondent's Motion for Judgment on the Pleadings Pursuant to FRCP 12(c) and Order Granting Respondent's Motion for Summary Decision and Order Dismissing Complaint and Cancelling Hearing (ALJ Feb. 25, 2011) (Bergstrom) PDF
  • Decision and Order of Remand (ARB Feb. 25, 2013) PDF | HTM
  • Decision and Order on Remand - Denying Complaint (ALJ Oct. 30, 2015) PDF
  • Final Decision and Order (ARB Aug. 31, 2017) PDF (USDOL/OALJ Reporter) | PDF
  • Johnson v. United States DOL, No. 18-10038 (11th Cir. May 18, 2020) (unpublished) (2020 U.S. App. LEXIS 15755) PDF

2010-SOX-39 Moyer v. Kindred Healthcare, Inc.

  • Decision and Order Granting Respondent's Motion for Summary Dismissal (ALJ Sept. 17, 2010) (Avery) PDF

     

2010-SOX-40 Bond v. The Boeing Company

  • Decision and Order Dismissing Untimely Filed Complaint (ALJ Sept. 14, 2010) (Etchingham) PDF

     

2010-SOX-41 Hayden v. Concur Technologies, Inc.

  • Order Approving Settlement (ALJ Jan. 3, 2011) (Pulver) PDF

     

2010-SOX-42 Elliott v. MDU Resources

  • Decision and Order Granting Respondents' Motion to Dismiss (ALJ Aug. 25, 2010) (Purcell) PDF

     

2010-SOX-43 O'Bryan v. Old Second Bancorp. Inc.

  • Recommended Final Order of Dismissal (ALJ Oct. 7, 2010) (Kennington) PDF

     

2010-SOX-44 Loscalso v. Ameriprise Financial, Inc.

  • Order of Dismissal (ALJ Oct. 13, 2010) (Timlin) PDF

     

2010-SOX-45 Wimer-Gonzales v. J.C. Penney Corp., Inc.

  • Decision and Order Granting Summary Decision (ALJ Sept. 16, 2010) (Berlin) PDF
  • Order Dismissing Complaint and Denying Motion for Extension of Time (ARB Nov. 17, 2011) PDF | HTM
  • Order Granting Reconsideration and Re-Instating Case on Docket (ARB Feb. 7, 2012) PDF | HTM
  • Final Decision and Order (ARB Sept. 28, 2012) PDF | HTM
  • Order Denying Motion for Reconsideration (ARB Nov. 7, 2012) PDF | HTM

     

2010-SOX-46 Santoro v. Tekni-Plex, Inc.

  • Recommended Decision and Order (ALJ Apr. 20, 2010) (Romano) PDF
  • Final Decision and Order Dismissing Appeal (ARB Aug. 5, 2011) PDF | HTM

     

2010-SOX-47 Lasiter v. Kellog Brown & Root (KBR)

  • Decision and Order (ALJ Feb. 3, 2011) (Rosenow) PDF

     

2010-SOX-48 Simkus v. United Airlines, Inc.

  • Order Dismissing Complaint (ALJ Dec. 22, 2010) (Purcell) PDF
  • Order Dismissing Complaint (ARB Apr. 5, 2011) PDF | HTM
  • Simkus v. United Air Lines, Inc. , No. 11-cv-2165 (N.D. Ill. July 31, 2012) (Memorandum Opinion and Order) PDF

     

2010-SOX-49 Gunther v. Deltek, Inc.

  • Decision and Order Granting Claim in Part and Dismissing Individual Respondents (ALJ July 31, 2012) (Lakes) PDF
  • Order Dismissing Interlocutory Appeals (ARB Sept. 11, 2012) PDF | HTM
  • Supplemental Decision and Order Awarding Damages (ALJ June 5, 2013) PDF
  • Final Decision and Order (ARB Nov. 26, 2014) PDF
  • Order Denying Motions for Partial Stay of Final Decision and Leave to Post a Supersedeas Bond (ARB Aug. 20, 2015) PDF
  • Deltek, Inc. v. USDOL, Administrative Review Bd. , No. 14-2415 (4th Cir. May 20, 2016) (unpublished) (2016 WL 2946570; 2016 U.S. App. LEXIS 9274) (affirming ARB decision) PDF

     

2010-SOX-50 Jordan v. Sprint Nextel Corp.

  • Order Dismissing Complaint and Denying Motion for Attorney's Fees (ALJ Dec. 6, 2010) (Johnson) PDF
  • Notice of Dismissal (ARB June 29, 2012) PDF | HTM
  • Jordan v. Sprint Nextel Corp ., No. 12-2573 (D.Kan. Mar. 11, 2014) (2014 WL 941824) (Memorandum and Order) PDF

     

2010-SOX-51 Fordham v. Fannie Mae

  • Decision and Order Dismissing Complaint (ALJ Mar. 19, 2012) (Kirby) PDF
  • Decision and Order of Remand (ARB Oct. 9, 2014) PDF
  • [ See Powers v. Union Pacific Railroad Co. , ARB No. 13-034, ALJ No. 2010-FRS-30 (ARB Oct. 17, 2014), in which the ARB provided notice that it will address, en banc, the "contributory factor" analysis addressed in Fordham .]

     

2010-SOX-52 Jordan v. National Instruments Corp.

  • Settlement and Dismissal (ALJ May 4, 2011) (Rosenow) PDF

     

2010-SOX-53 Katzenberger v. Bank of Montreal

  • Order Approving Settlement Agreement and Dismissing Complaint (ALJ May 3, 2011) (Johnson) PDF

     

2010-SOX-54 Gupta v. Johnson & Johnson

  • Order and Summary Decision Dismissing Complaint (ALJ Jan. 7, 2011) PDF

     

2010-SOX-55 Twyman v. Taxmasters, Inc.

  • Decision and Order Granting Respondent's Motion for Summary Judgment (ALJ Feb. 16, 2011) (Kennington) PDF

     

2010-SOX-56 Poulos v. Summit Hotel Properties

  • Decision and Order Approving Settlement and Dismissing Complaint With Prejudice (ALJ Mar. 31, 2011) (Malamphy) PDF

     

2010-SOX-57 Deal v. Freeport-McMoran Copper & Gold Inc.

  • Final Decision and Order Approving Settlement and Dismissing Case With Prejudice (ALJ Mar. 1, 2011) (Price) PDF

     

2010-SOX-58 Holliday v. Oldcastle, Inc.

  • Order Dismissing Complaint (ALJ May 26, 2011) (Bergstrom) PDF

     

2010-SOX-59 Spinner v. Pall Corp.

  • Final Order Approving Joint Motion for Withdrawal of Complaint; Dismissing Matter With Prejudice; and Cancelling Hearing (ALJ Nov. 29, 2011) (Odegard) PDF

     

2010-SOX-60 Crown v. City of Chicago

  • Initial Decision and Order - Dismissal of Complaint (ALJ Oct. 29, 2010) (Stansell-Gamm) PDF
  • Final Decision and Order Dismissing Complaint (ARB July 15, 2011) PDF | HTM