The arbitration of whistleblower cases

Abstract

Disputes regarding termination of employment under the Whistleblower provisions of the Sarbanes‐Oxley Corporate Reform Act of 2002 are subject to required arbitration according to the “Boss” decision. This article explores the requirements under self regulatory organization (SRO) rules of employees in the securities industry to arbitrate disputes with their employers, exceptions to the requirement to arbitrate, and the expansion of the requirements to cover activities under the Sarbanes Oxley statute. The article sets out to demonstrate the commitment to arbitration in the securities industry not only to resolve investor disputes, but to apply the same standards and requirements to employees and the industry as a whole. The article also shows the resilience of the rules and procedures to adjust and improve to meet the challenges presented by new types of claims, and to ensure that statutory rights are addressed adequately

Citation

Masucci, D. (2004), "The arbitration of whistleblower cases", Journal of Investment Compliance, Vol. 4 No. 4, pp. 46-48. https://doi.org/10.1108/15285810310813266