SARBANES-OXLEY

Baird Quinn represents clients with respect to retaliation claims under the Sarbanes-Oxley Act of 2002 (“SOX”).   These claims are typically asserted by employees who claim that they were subjected to retaliation for reporting securities or accounting fraud and other corporate wrongdoing.  Clients may include high-level executives, attorneys, managers, accountants and other whistleblowers.

SOX has had a significant impact on the legal landscape for employees at publicly-traded companies.  SOX’s whistleblower protection provisions provide a powerful legal mechanism for employees who suffer retaliation for reporting accounting fraud, misleading statements to the investing public, and other financial or securities-related misdeeds.  As SOX is a relatively new law, it is critical that employers and employees find attorneys with the expertise necessary to effectively represent their interests before the Department of Labor and in the courts.  Given the short 180-day deadline for filing such claims before the Department of Labor, attorneys must be able to analyze and litigate such claims within a relatively short time frame. 

The Dodd-Frank Act of 2010 recently strengthened some SOX whistleblower protections and closed unintended loopholes.  Before passage of the Dodd-Frank Act, the Department of Labor interpreted SOX’s whistleblower protection provisions to apply solely to publicly-traded companies subject to the registration and reporting requirements of the Securities Exchange Act and not to their wholly-owned private subsidiaries.  The Dodd-Frank Act extended SOX’s coverage and protections to the employees of subsidiaries of publicly-traded companies whose financial information is incorporated into the consolidated financial statements of a publicly-traded company.  In addition, the Dodd-Frank Act increased the statute of limitations for SOX whistleblower claims from 90 days to 180 days, giving employees more time to file a retaliation claim.  The law also invalidates any mandatory pre-dispute arbitration agreement that has the effect of waiving rights and remedies under SOX, and provides SOX whistle-blowers with a right to jury trial in federal court.

Information on filing a Whisteblower Complaint under Sarbanes-Oxeley is set forth on the attached pamphlet published by OSHA.  See OSHA Sox Fact Sheet

Having experienced attorneys on your side is important to achieving a favorable outcome in a SOX whistleblower case.  Baird Quinn has that experience, and can assist you in evaluating, prosecuting or defending a SOX claim.  Please feel free to contact our Colorado Sarbanes Oxley lawyers.  You may obtain additional information regarding our whistleblower lawyers at the following link.  Contact Us


Baird Quinn LLC
The Bushong Mansion
2036 E. 17th Avenue
Denver, Colorado 80206
303.813.4500 (o)
303.813.4501 (f)

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