Julia Jordan and Tracy Richelle High Co-author Bloomberg BNA’s Securities Regulation and Law Report Article on Dodd-Frank Anti-Retaliation ProvisionsDecember 13, 2016
On December 13, Bloomberg BNA’s Securities Regulation and Law Report published an article exploring Dodd-Frank anti-retaliation provisions, co-authored by Julia Jordan and Tracy Richelle High. The article outlined the disagreement among courts about whether an employee who reports potential securities law violations to their employers internally qualify as “whistleblowers” under Dodd-Frank and so are entitled to the act’s anti-retaliation protection. It goes on to explain the implications of broadly interpreting who qualifies as a “whistleblower” under Dodd-Frank given that Dodd-Frank provides more rights and remedies to whistleblowers than Sarbanes-Oxley does. “As a result, acceptance of the broad interpretation of the Dodd-Frank anti-retaliation provision would render the SOX cause of action a dead letter to a significant extent, as the Dodd-Frank cause of action is far more enticing for individuals given its procedural and substantive advantages,” Julia and Tracy concluded.