![]() ![]() ![]() ![]() In response, the supervisor and her coworkers engage in a pattern of harassment until the employee finally complains to the owner. The Sarbanes-Oxley Act (SOX) was enacted in 2002 to restore investor confidence in the nation’s financial markets in the wake of the Enron scandal.1 Its whistleblower provisions, both civil and criminal, were specifically designed “to prevent recurrences of the Enron debacle and similar threats to the nation’s financial markets” by protecting whistleblowers who report fraudulent activity which could damage innocent investors.2 In light of these goals, one might reasonably assume that a whistleblowing employee must assert at least some degree of fraud affecting shareholders before SOX’s protections are implicated.3 However, as the following two scenarios demonstrate, both SOX’s criminal and civil whistleblower provisions can be interpreted as extending far beyond their intended scope.ĮEO Participation Clause Retaliation Claims - Potential Criminal Sanctions and Civil RICO LiabilityĪssume an employee at a small, privately-owned company files an EEOC complaint alleging her supervisor discriminated against her because of race.
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