SARBANES-OXLEY ACT, § 806
2011-SOX
2011-SOX-1 Murphy v. Symantec Corp.
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Order Granting Joint Request to Dismiss With Prejudice and Cancellation of Hearing (ALJ Apr. 7, 2014) (Swank)
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2011-SOX-2 Svendsen v. U.S. Security Associates, Inc.
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Order Dismissing Complaint (ALJ Jan. 19, 2011) (Johnson)
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2011-SOX-3 Tay v. Ingersoll Rand Co.
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Final Order Dismissing Matter With Prejudice (ALJ June 8, 2012) (Odegard) (settlement)
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2011-SOX-4 Cunningham v. Livedeal, Inc.
- Order of Dismissal (ALJ Apr. 1, 2011) (Pulver) PDF
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Final Decision and Order Approving Settlement Agreement and Dismissing Petition for Review (ARB Aug. 5, 2011)
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2011-SOX-5 Hix v. Fedex Corp.
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Order of Dismissal (ALJ May 2, 2012) (Sellers) (complaint filed in U.S. District Court for the Western District of Arkansas)
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2011-SOX-6 Pik v. Credit Suisse AG
- Decision and Order Dismissing Complaint (ALJ Mar. 3, 2011) (Sarno) PDF
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Final Decision and Order (ARB May 31, 2012)
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2011-SOX-7 Heaton v. Humana, Inc.
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Final Order Approving Settlement (ALJ June 1, 2011) (Timlin)
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2011-SOX-8 Nieman v. Nationwide Mutual Insurance
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Order Granting Complainant's Motion to Dismiss With Prejudice (ALJ Feb. 17, 2011) (Burke)
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2011-SOX-9 Adel v. Schlumberger, N.V. (Ltd.)
- Order Granting Respondent's Motion for Summary Decision and Order Dismissing Complaint (ALJ Apr. 27, 2011) (Sarno) PDF
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Final Decision and Order Dismissing Complaint (ARB Jan. 9, 2012) (action filed in United States District Court for the Southern District of Texas)
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2011-SOX-10 Galinsky v. Bank of America Corporation
- Recommended Decision and Order (ALJ May 31, 2011) (Romano) PDF
- Final Decision and Order (ARB Oct. 31, 2012) PDF | HTM
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Galinsky v. USDOL
, No. 12-5133 (2d Cir. Feb. 26, 2014)
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2011-SOX-11 Wallace v. Tesoro Corp.
- Order Dismissing Complaint for Removal to U.S. District Court (ALJ Apr. 15, 2011) (Avery) PDF
- Wallace v. Tesoro Corp. , 796 F.3d 468 (5th Cir. July 31, 2015) (No. 13-51010) (2015 U.S. App. LEXIS 13414; 2015 WL 4604967) PDF
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Wallace v. Andeavor Corp.
, No. 17-50927 (5th Cir. Feb. 15, 2019) (2019 U.S. App. LEXIS 4670; 2019 WL 643217) (Opinion)
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2011-SOX-12 Lawlor v. Online Resources Corp.
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Recommended Order of Dismissal (ALJ Jan. 31, 2011) (Chapman)
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2011-SOX-13 Gifaldi v. Octagon, Inc.
- Decision and Order - Dismissal of Complaints (ALJ May 3, 2013) (Stansell-Gamm) PDF
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Final Decision and Order Dismissing Appeal (ARB July 29, 2013)
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2011-SOX-14 Sinclair v. Volt Information Sciences, Inc. and Volt Delta Resources, LLC
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Final Order Approving Settlement (ALJ Apr. 7, 2011) (Timlin)
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2011-SOX-15 Demopolous v. Deutsche Bank Securities, Inc.
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Order of Dismissal (ALJ Mar. 31, 2011) (Odegard)
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2011-SOX-16 Mirande v. Tyson Foods
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Order Approving Settlement Agreement and Dismissing Complaint With Prejudice (ALJ Aug. 9, 2011) (Dorsey)
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2011-SOX-17 Fujii v. Teva Pharmaceuticals Industries Ltd.
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Order Dismissing Matter, Based on Complainant's Withdrawal of Complaint (ALJ Mar. 31, 2011) (Odegard)
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2011-SOX-18 Goodling v. ABB, Ltd.
- Order of Dismissal (ALJ May 24, 2011) (Vittone) PDF
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Final Decision and Order Dismissing Appeal (ARB Dec. 12, 2011)
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2011-SOX-19 Houton v. Wachovia Corp.
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Recommended Summary Decision Dismissing Request for Hearing (ALJ Apr. 20, 2011) (Romano)
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2011-SOX-20 Bradley v. Centerpoint Energy, Inc.
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Order Dismissing Claim (ALJ Apr. 11, 2011) (Kennington)
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2011-SOX-21 Gonzales v. JC Penney Co.
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Decision and Order (ALJ Dec. 15, 2011) (Pulver)
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2011-SOX-22 Woodling v. Matrix Service Co.
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Order Granting Respondent's Motion for Summary Decision (ALJ May 26, 2011) (Solomon)
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2011-SOX-23 Lyon v. Northern Trust
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Order Approving Settlement and Dismissing With Prejudice (ALJ Apr. 12, 2011) (Lesniak)
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2011-SOX-24 Ferguson v. Federal Deposit Insurance Corp., as Receiver of Bankunited, FSB, and BankUnited Financial Corp.
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Order Granting FDIC Receiver's Motion for Summary Judgment and Dismissal As to BankUnited Financial Corporation (ALJ Sept. 7, 2012) (Dorsey)
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2011-SOX-25 Krise v. Management & Training Corp.
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Order Granting Motion for Summary Decision (ALJ June 17, 2011) (Gee)
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2011-SOX-26 Luu v. Hewlett Packard, Inc.
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Order Dismissing Complaint With Prejudice (ALJ May 11, 2011) (Gee)
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2011-SOX-27 Poli v. Jacobs Engineering Group
- Order Granting Respondent's Motion for Summary Decision and Dismissing Complaint (ALJ Apr. 21, 2011) (Geraghty) PDF
- Order Granting Respondent's Motion for Summary Decision and Dismissing Complaint (ALJ Apr. 29, 2011) PDF
- Decision and Order of Remand (ARB Aug. 31, 2012) PDF | HTM
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Decision and Order Approving Settlement Agreement and Dismissing Complaint With Prejudice (ALJ Jan. 16, 2014)
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2011-SOX-28 Wascom v. Cornerstone Christian School
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Decision and Order of Dismissal (ALJ Apr. 19, 2011) (Price)
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2011-SOX-29 Pittman v. TEG Staffing, Inc.
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Order of Dismissal (ALJ Aug. 5, 2011) (Berlin) (Complainant elected to proceed in federal district court)
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2011-SOX-30 Swank v. Banc Pass, Inc.
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Order Granting Respondent's Motion to Dismiss (ALJ May 31, 2011) (Romero)
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2011-SOX-31 Fernandez v. Navistar International Corp.
- Order Finding Good Cause Why the Complaint Should Not Be Dismissed (ALJ Jan. 28, 2013) (Merck) PDF
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Order Approving Settlement Agreement and Dismissing SOX Complaints With Prejudice (ALJ May 2, 2013)
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2011-SOX-32 Tyler v. Slay Transportation Co.
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Order of Dismissal (ALJ Oct. 31, 2011) (Rosenow)
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2011-SOX-33 Dampeer v. Jacobs Technology - Engineering and Science Group
- Decision and Order (ALJ Sept. 16, 2011) (Avery) PDF
- Order Denying Motion to Dismissal Appeal, and Alternatively to Strike Brief (ARB Dec. 5, 2011) PDF | HTM
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Final Decision and Order (ARB May 31, 2013)
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2011-SOX-34 Pittman v. Bank of America Corp.
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Order of Dismissal (ALJ June 21, 2011) (Berlin) (Complainant elected to proceed in federal district court)
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2011-SOX-35 Defazio v. Sheraton Steamboat Resorts & Villas
- Order Dismissing Complaint As Untimely (ALJ July 5, 2011) (Purcell) PDF
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Final Decision and Order (ARB Oct. 23, 2012)
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2011-SOX-36 Blaho-Owens v. Merial Limited
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Order of Dismissal With Prejudice and Order Cancelling Scheduled Hearing (ALJ June 21, 2011) (Bergstrom) (Complainant elected to proceed in federal district court)
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2011-SOX-37 Torres v. Walgreen Co.
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Order of Dismissal (ALJ July 7, 2011) (Kennington)
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2011-SOX-38 Wilk v. Amtrust Underwriters, Inc.
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Order of Dismissal (ALJ July 14, 2011) (Geraghty)
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2011-SOX-39 Smith v. Fannie Mae
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Order Granting Withdrawal - Cancellation of Hearing (ALJ Nov. 2, 2012) (Reilly)
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2011-SOX-40 Price v. Federal National Mortgage Assoc. ("Fannie Mae")
- Decision Order - Dismissal of Complaint (ALJ Sept. 29, 2014) (Stansell-Gamm) PDF
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Final Order Approving Withdrawal of Complainant's Petition for Review and Dismissing Appeal (ARB Jan. 11, 2016)
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2011-SOX-41 Banerjee v. BNP Paribas
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Decision and Order Granting Respondent's Supplemental Motion for Summary Decision (ALJ Mar. 30, 2012) (Harris)
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2011-SOX-42 Rank v. Becton Dickinson Diagnostics Systems
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Decision and Order Approving Settlement (ALJ Nov. 20, 2012) (Kirby)
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2011-SOX-43 Prabhu v. Siemens Medical Solutions, USA
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Final Order (ALJ Jan. 17, 2012) (Timlin)
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2011-SOX-44 Koonce v. City Trends
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Order of Dismissal (ALJ Oct. 19, 2011) (Sarno)
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2011-SOX-45 Hix v. Fedex Corp.
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Order of Dismissal (ALJ May 2, 2012) (Sellers) (complaint filed in U.S. District Court for the Western District of Arkansas)
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2011-SOX-46 Taylor v. URS Corp., Inc.
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Order Approving Confidential Settlement Agreement and Dismissing With Prejudice (ALJ May 9, 2013) (Price)
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2011-SOX-47 Isaacs v. Manpower Group
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Decision and Order Approving Settlement Agreement and Dismissing Complaint With Prejudice (ALJ Nov. 16, 2011) (Calianos)
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2011-SOX-48 Cushing v. RBC Wealth Management
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Order Approving Settlement Agreement (ALJ Apr. 12, 2013) (Pulver)
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