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Expert Analysis - Opinion

2nd Circ. Erred In Requiring Retaliatory Intent In SOX Claim

By Lynne Bernabei and Kristen Sinisi (August 24, 2022, 6:18 PM EDT) -- On Aug. 5 in Murray v. UBS Securities LLC,[1] a three-judge panel of the U.S. Court of Appeals for the Second Circuit overturned a $2.6 million award to a whistleblower who had filed a retaliation claim against his former employer in 2014 under Section 806 of the Sarbanes-Oxley Act.[2]

At trial, the whistleblower had presented circumstantial evidence of causation based on the temporal proximity between his protected activity and termination.

However, according to the Second Circuit, he had to prove that his employer acted with retaliatory intent, separate and apart from showing that his protected activity was a contributing factor in...

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