Employee Whistleblower Claims Under SOX and Dodd-Frank

Minimizing the Risk of Claims, Preparing for Litigation, and Preserving Arguments for Appeal

DOL extends whistleblower protections to employees of contractors

Recording of a 90-minute CLE webinar with Q&A

Conducted on Tuesday, October 9, 2012

Recorded event now available

or call 1-800-926-7926
Course Materials

This CLE course will provide guidance for employment counsel to minimize the risk of employee whistleblower claims under the recently expanded SOX. The panel will also provide best practices for defending whistleblower litigation and preserving issues for appeal.


The Dodd-Frank Act of 2010 amended the Sarbanes-Oxley Act (SOX), expanding whistleblower protections for employees who report conduct believed to violate federal law. Recently, the U.S. Department of Labor (DOL) further expanded SOX to protect employees of contractors of publicly traded companies.

Employment counsel representing publicly traded companies, affiliated contractors and subcontractors must take proactive steps to minimize the risk of whistleblower claims. Policies and procedures that set forth prohibited conduct and outline how to report corporate misconduct are essential.

Further, companies facing whistleblower claims should be prepared to defend those claims before federal regulatory agencies and in court, and should be mindful of preserving critical issues for appeal if necessary.

Listen as our panel of attorneys experienced in litigating whistleblower claims analyzes recent whistleblower activity, provides best practices for employers to reduce the risk of whistleblower claims, and explains strategies for defending litigation.



I. Recent legal developments
II. Best practices to minimize exposure to whistleblower claims
III. Strategies for defending whistleblower litigation


The panel will review these and other key questions:

  • How have the whistleblower provisions under SOX been expanded in recent years?
  • What steps can employers take to reduce the likelihood of whistleblower claims?
  • What are the key components of a formal internal complaint and investigation process, and how is that process critical to an employer's defense of employee whistleblower claims?
  • What long-term litigation strategies should employment counsel implement to minimize liability exposure for companies?

Following the speaker presentations, you'll have an opportunity to get answers to your specific questions during the interactive Q&A.


Margaret H. Campbell
Margaret H. Campbell

Ogletree Deakins Nash Smoak & Stewart

She has practiced employment, litigation, and labor law at the firm since 1981. She is particularly recognized for her...  |  Read More

Delikat, Mike
Mike Delikat

Orrick Herrington & Sutcliffe

Mr. Delikat serves as Chair of the firm's Global Employment Law Practice. He currently has an active practice...  |  Read More

Thad Guyer, Esq.
Thad Guyer, Esq.

T.M. Guyer and Ayers & Friends

He focuses exclusively on employee whistleblower litigation in state and federal courts and agencies. He has litigated...  |  Read More

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