Employee Whistleblower Claims Under SOX: Preparing for New OSHA Enforcement

Avoiding and Defending Worker Retaliation Claims

OSHA makes two employers pay combined $1.6 million for SOX whistleblower violations in March

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

This program is included with the Strafford CLE Pass. Click for more information.
This program is included with the Strafford All-Access Pass. Click for more information.

Conducted on Tuesday, June 8, 2010

Recorded event now available

or call 1-800-926-7926
Course Materials

This CLE course will provide best practices for employment counsel to reduce the risk of employee whistleblower claims under SOX and prepare counsel with strategies for defending worker retaliation lawsuits.


Employee retaliation claims have soared as a result of extensive layoffs and general job insecurity in tough economic times. At the same time, the government is rigorously enforcing the whistleblower protection provisions of the Sarbanes-Oxley Act (SOX).

Employers face substantial risks from increased whistleblower and retaliation claims. In March 2010, OSHA issued awards of $1 million and $600,000 against two employers found in violation of the SOX whistleblower protection provisions. Jury awards in these suits can be staggering.

Now more than ever, employers and their counsel must take proactive steps to minimize the risk of claims alleging retaliation for protected whistleblowing. Policies and procedures that set forth prohibited conduct and outline how to report corporate misconduct are essential.

Listen as our panel of employment attorneys analyzes recent decisions concerning SOX whistleblower claims, provides best practices for employers to reduce the risk of such claims, and offers strategies for defending retaliation lawsuits.



  1. Whistleblower protection under SOX
    1. Covered employers and employees
    2. Protected activity
    3. Prohibited retaliation
    4. Remedies
  2. Legal developments regarding SOX whistleblower claims
    1. E-Smart Technologies and Tennessee Commerce Bank decisions
    2. Other recent ALJ decisions and case law developments
    3. Anticipated trends under the Obama Administration
  3. Best practices to avoid and defend claims
    1. Internal complaint procedures
    2. Documentation of investigations and resolutions
    3. Corporate policies
    4. Effective employee relations practices
    5. Defenses to litigation


The panel will review these and other key questions:

  • What is the anticipated impact on employers of the recent SOX whistleblower decisions favoring employees?
  • What steps can employers take to reduce the risk of liability for employee retaliation and 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 to employee claims?


Diana L. Hoover
Diana L. Hoover

Hoover Kernell

Her practice focuses on all areas of employment law, including discrimination claims, wage violations, and retaliation....  |  Read More

Steve Kardell
Steve Kardell

Clouse Dunn Khoshbin

He litigates complex employment issues, board of directors liability for employment practices, executive malfeasance...  |  Read More

Courtney L. Anderson
Courtney L. Anderson

Mayer Brown

She represents businesses and individuals in discrimination, wage & hour, defamation, whistleblower, wrongful...  |  Read More

Access Anytime, Anywhere

Strafford will process CLE credit for one person on each recording. All formats include course handouts.

To find out which recorded format will provide the best CLE option, select your state:

CLE On-Demand Audio