Category Archives: Wrongful Termination

The Complaint Came Too Late: J.P. Morgan Caught Filing FINRA Complaints After Firing Whistleblower

A former broker for J.P. Morgan Chase was fired by the bank due, in part, to complaints about him filed by current and former customers with the Financial Industry Regulatory Authority (FINRA). However, later investigations determined both that some of … Continue reading

Posted in Confidentiality, New York, Retaliation, Securities & Exchange Commission, Whistleblower, Wrongful Termination | Leave a comment

Don’t Shoot the Messenger: Board Members May Be Held Individually Liable for Silencing In-House Counsel’s Complaints of Corruption

The U.S. District Court for the Northern District of California recently determined, in a matter of first impression, that members of a company’s board of directors may be held individually liable under the anti-retaliation provisions of the Sarbanes-Oxley Act (“SOX”) and … Continue reading

Posted in California, Employee Policies & Procedures, Foreign Corrupt Practices Act, Litigation, Retaliation, Whistleblower, Wrongful Termination | Leave a comment