In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp., Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule, SEC Charges the Brink's Company with Violating Whistleblower Protection Rule, SEC Charges Co-Founder of Technology Company for Violating Whistleblower Protection Rule, SEC Charges Broker-Dealer for Violating Whistleblower Protection Rule, SEC Charges Investment Adviser and Others With Defrauding Over 17,000 Retail Investors, SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints, Connecticut Broker and Investment Adviser Convicted On 21 Counts of Fraud and Money Laundering, Financial Company Charged with Improper Accounting and Impeding Whistleblowers, Company Settles Charges in Whistleblower Retaliation Case, Company Violated Rule Aimed at Protecting Potential Whistleblowers, Risk Alert: Examining Whistleblower Rule Compliance, SEC: Casino-Gaming Company Retaliated Against Whistleblower, SEC Charges Anheuser-Busch InBev With Violating FCPA and Whistleblower Protection Laws, Company Punished for Severance Agreements That Removed Financial Incentives for Whistleblowing, Company Paying Penalty for Violating Key Whistleblower Protection Rule, Merrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk, SEC Announces Award to Whistleblower in First Retaliation Case, SEC: Companies Cannot Stifle Whistleblowers in Confidentiality Agreements, SEC Charges Hedge Fund Adviser With Conducting Conflicted Transactions and Retaliating Against Whistleblower, Statement on Court Filing by SEC to Protect Whistleblowers From Retaliation, Providing information to the SEC under the whistleblower program, or, Initiating, testifying in, or assisting the SEC in any investigation or proceeding. For example, if an employer discovered that an employee was making jokes about another person in front of their peers, this would often mean that the employer would be liable for firing the employee. Additionally, a representative from Respondents board of directors will attend a training on the NYC Human Rights Law. LaGuardia Gateway Partners Pays $4,000 in Emotional Distress Damages to Settle Discrimination Case, Agrees to Affirmative Relief. Through a subsequent Commission-initiated intervention, the Commission and Key Food entered into a stipulation and order in which Key Food agreed to have its owner and managers attend a training on the NYC Human Rights Law at the National Supermarket Association, whose members will also be invited to attend. The Respondents also agreed to place two voucher holders in immediate need of housing in set aside units as part of the agreement. A Complainant also filed a complaint against Prada in January 2019. In addition to protecting whistleblowers who have reported possible securities law violations from retaliation, Commission Rule 21F-17 (a) prohibits any person from taking any action to prevent you from contacting the SEC directly to report a possible securities law violation. 97 Euclid Realty Pays $35,000 in Damages and Civil Penalties, Agrees to Affirmative Relief to Resolve Retaliation ClaimA tenant filed a complaint alleging that her buildings superintendent sexually assaulted her and that her landlord increased her rent after she obtained an order of protection against the superintendent. The lawsuit underscores the fact that all employers, both public and private companies, are susceptible to these types of claims. During her employment, Complainants supervisors questioned her gender, asked her invasive questions about her body, and assigned her impossible tasks. Through its investigation, the Law Enforcement Bureau discovered evidence to support allegations that Complainants supervisor made inappropriate sexual comments and subjected Complainant to unwanted touching on multiple occasions. Representatives from Respondent landlord also attended a training on the NYC Human Rights Law. Further, the Commission has neither approved nor disapproved them. Despite the sign, Complainant alleged that an employee of Respondent C-Town told Complainant that there were no positions available. Instead, they used the same generic reasoning that improperly weighed the relevant factors, in violation of the Fair Chance Act. Incident(s) Terms. Race and National Origin Discrimination. NYC Health + Hospitals Corporation Pays $140,000 in Emotional Distress Damages To Resolve Gender-Based Harassment ClaimsAn employee of the New York City Health and Hospitals Corporation (H+H) filed a complaint alleging that a senior manager within the Equal Employment Opportunity office at H+H sexually harassed her over a period of several years, attempting to kiss her, making comments about her body, attire, and appearance, and routinely making sexual innuendos and advances towards her. The Academy signed a stipulation and order agreeing to revise its policy to make clear that natural hairstyles and hairstyles commonly associated with Black people or with other racial, ethnic, or cultural identities, including, but not limited to, braids, shall be allowed, and that any safety or other restrictions on hairstyle shall not discriminate based on racially protected characteristics. Respondent LaGuardia Gateway Partners (LGP), which manages the Terminal B area, agreed to pay $4,000 in emotional distress damages to Complainant for this incident. Some of the most prevalent EPLI-related claims seen in 2020 include: Retaliation Claims on the Rise - More than half of EEOC claims filed in recent years have involved claims of employer retaliation against an employee. The Family and Medical Leave Act (FMLA), 29 U.S.C. O.M.G., Inc. Agrees To Pay $30,000 in Damages and Extensive Affirmative Relief After Terminating a Transgender EmployeeComplainant, who is transgender, worked for O.M.G., Inc. (OMG) as a sales associate. The Commission filed a complaint and issued a determination of probable cause. A suit that involves such retaliation would seek damages for the mental and emotional trauma caused to the person being made fun of. The Commission and Respondents reached a settlement agreement that required them to pay $10,000 in civil penalties; make changes to ensure their policies were compliant with the source of income provisions of the Law; attend training; send notices about the Law to Respondents agents; and post notices of rights in the buildings they own throughout New York City. The Commission and the parties entered into a conciliation agreement requiring Respondent to pay Complainant $21,500 in emotional distress damages, pay $10,000 in civil penalties, provide all of the funds employees with anti-sexual harassment training, ensure that it has meaningful policies in place to address complaints of discrimination, post the Commissions Stop Sexual Harassment Act Notice, and distribute the Commissions Stop Sexual Harassment Act Fact Sheet. The Commission, the Complainant and Respondent entered into an agreement for Respondent to pay the complainant $15,000 in emotional distress and a civil penalty of $10,000. Disability Discrimination. Through the parties conciliation, Respondents agreed to pay Complainant $80,000 in back pay and $20,000 in emotional distress damages; conduct anti-discrimination training, including a focus on NYC Human Rights Law protections for religious accommodations; and post the Commission's Notice of Rights poster. In the Matter of Guggenheim Securities, LLC, SEC v. Collector's Coffee, Inc. (d/b/a Collectors Cafe), and Mykalai Kontilai, In the Matter of Homestreet, Inc. and Darrell Van Amen, In the Matter of Anheuser-Busch InBev SA/NV. 639 Realty LLC and Affordable Housing Real Estate Corp. Settle Source of Income Discrimination Case for $5,000 in Emotional Distress Damages and Policy UpdatesA complainant alleging discrimination based on his attempt to use his HASA voucher filed a complaint against 639 Realty LLC and Affordable Housing Real Estate Corp. As part of the conciliation agreement, Respondents paid Complainant $5,000 in emotional distress damages; agreed to edit and update their policies; agreed to take training on the source of income provisions of the NYC Human Rights Law; and agreed to send information to all their agents about their updated policies and compliance with the NYC Human Rights Law, along with ongoing monitoring by the Commission. $100,000 - CEPA Retaliation $125,000 - CEPA Retaliation $125,000 - Sexual Harassment $100,000 - Disability Discrimination $200,000 - Race Discrimination 2020 $352,000 - Disability Discrimination $300,000 - Marital Status Discrimination $225,000 - Sexual Harassment $110,000 - National Origin Discrimination $247,000 - Sexual Harassment You may also be able to file a retaliation complaint in federal court under Section 806 of the Sarbanes-Oxley Act of 2002 (SOX). An investigation by the Commissions Law Enforcement Bureau confirmed that after Complainants ex-boyfriend attacked her directly outside of Lyons, Respondents blamed her for endangering her coworkers and repeatedly refused to prevent the ex-boyfriend from entering the premises, despite not being a member of Lyons, and then transferred Complainant to another facility and did not renew her seasonal job. MSKCC paid $65,000 in emotional distress damages to Complainant, $35,000 in civil penalties to the City of New York, and agreed to train its human resources personnel and managers on the NYC Human Rights Law. Restaurant Pays Damages in Private Settlement for Sexual Orientation Workplace HarassmentComplainant, a server at a large Manhattan restaurant with a single location, alleged that he was harassed by coworkers and improperly terminated because of his sexual orientation, in violation of the New York City Human Rights Law. The Justice Department also announced the settlement of related retaliation claims filed against Pocomoke City, Maryland that were resolved on Dec. 4, 2019. It remains to be seen whether the U.S. Supreme Court's decision in 2020 that discrimination based on sexual orientation and gender identity is prohibited sex discrimination will have an impact on total LGBTQ-based sex discrimination charges filed.. Home. The YMCA of Greater New York Updates Health Care Plans to Include Gender-Affirming CareThe Commission launched an investigation into the YMCA of Greater New York (YNY) after receiving a tip that the organizations self-insured health care plans excluded gender-affirming care, possibly discriminating against transgender and gender non-conforming employees in violation of the NYC Human Right Law. Mulberry LLC and Alpha Properties NYC LLC Pay $4,000 in Damages and Penalties in Disability, Service Animal ClaimMulberry I, LLC (Mulberry), a landlord with 50 buildings in the City, and a brokerage, Alpha Properties NYC I LLC (Alpha), agreed to settle a case co-filed by an individual Complainant and the Commissions Law Enforcement Bureau after Winer told the Complainant that Mulberry insisted on a $1,000, non-refundable pet deposit for the Complainants emotional support animal, disrupting their housing search. Additionally, MSKCC agreed to modify its employment policies, including its reasonable accommodation policy, to reflect the NYC Human Rights Law. Save my name, email, and website in this browser for the next time I comment. To be eligible for an award, you must file a Form TCR within 30 days of submitting your information or within 30 days of learning of the TCR filing requirement. HFF Realty LLC and Manager Agree to Policy Changes, Training, and Postings After Refusing to Accommodate Emotional Support AnimalsTesting conducted by the Commission revealed that HFF Realty refused to reasonably accommodate emotional support animals for tenant applicants. The YNY engaged with the Commission to redesign their plans to include comprehensive coverage of transition-related procedures. Pax Assist, LLC Pays $17,500 in Civil Penalties and Emotional Distress Damages to Settle Claims of Religious Discrimination; Agrees to Train All Employees, Revise Policies, and Agrees to Two Years of Monitoring By the CommissionThe Commission filed both a Commission-initiated complaint and a public complaint against Pax Assist after it discovered that managers had discriminated against the companys Muslim employees when they asked that their breaks coordinate with fasting times during the month of Ramadan. Respondents also agreed to one year of monitoring by the Commission. It is important to note that lawsuits like the one above are not only common, but can happen without warning. Tamosaitis agreed to a settlement of his federal retaliation lawsuit against Hanford contractor URS for $4.1 million dollars. Upon investigating, the Law Enforcement Bureau discovered that the Respondent's application form also requested authorization to conduct criminal background checks in violation of the Fair Chance Act. Hubbell later sued FedEx in court for terminating her employment in retaliation for filing those EEOC charges. Following the Law Enforcement Bureaus investigation, the Commission, Complainant, and Prada entered into a conciliation agreement requiring Prada to ensure that its New York City employees and certain Milan-based executives receive racial equity training and training on the New York City Human Rights Law; develop a scholarship program for people historically underrepresented in fashion; appoint a senior, director-level diversity and inclusion officer who will review Pradas advertising and products sold in the United States, as well as review and monitor Pradas anti-discrimination policies; maintain Pradas Diversity and Inclusion Council, launched by Prada in February of 2019, with a minimum of three to five members for a period of at least six years, with regular reporting by Prada on the councils progress to the Commission; and commit to increasing the diversity of its staff; and submit to two years of monitoring by the Commission. Touro College Pays $69,914.00 for Failing To Provide a Reasonable Accommodation to Employee with DisabilityComplainant sought a schedule adjustment from her employer, Touro College, related to her disability. Respondents resolved the matter pre-complaint by creating a comprehensive plan to accommodate all residents with disabilities during the remaining elevator outages resulting from the modernization projects across their six buildings. If youchoose to report a possible securities law violation internally to your company, you also can report that information directly to the SEC either before or at the same time as reporting internally. InDinero, Inc. agreed to pay $11,666.67 in back pay, $18,333.33 in attorneys fees, $25,000 in emotional distress damages, and $10,000 in civil penalties, and to revise their hiring policies and practices. Required fields are marked *. Blog. Respondent LGP further agreed to provide the Commissions Law Enforcement Bureau with its draft employee handbook for review and provide the Commission with confirmation that it had completed annual sexual harassment prevention training that complies with the NYC Human Rights Law. Key Food Supermarket Agrees to Training, Policy Creation, and Posting in Disability Discrimination MatterA patron filed a complaint against 42-15 Food Corp. d/b/a Key Food Supermarket (Key Food), alleging that she was denied services because of her service animal. Brooklyn-based Property Management Company and Vice President Pay $94,000 in Damages and Penalties in Sexual Harassment CaseComplainant, who was employed as an office assistant by a property management firm for two and a half months, filed a complaint alleging that after she was hired, she was sexually harassed by a vice president, facing repeated unwanted romantic and sexual advances. Respondent claimed that other job options were very limited, and that Complainant never recovered from her injuries sufficiently to perform the essential functions of any job. NYC Fire Services and Guards LLC Pays $12,500 in Damages and Civil Penalties for Subjecting Applicants to Questions Which Violated the Fair Chance ActA job applicant filed a complaint against of discrimination against NYC Fire Services and Guards LLC alleging that Respondents unlawfully inquired into his criminal history prior to a conditional offer of employment and improperly denied him employment on the basis of his criminal history. MMPS of New York Settles Pregnancy Discrimination Case for $40,000 in Damages and Penalties and Affirmative ReliefMMPS of New York, a medical clinic, agreed to settle a case where a pregnant employee was not provided accommodations and was ultimately terminated because of her pregnancy. You can find more information about the Dodd-Frank whistleblower protections, including the time period by which a whistleblower must file a private action in federal court, in Section 922 of the Dodd-Frank Act. The hospital, which had already agreed to implement extensive affirmative relief measures in another similar Commission case filed around the same time, agreed to pay the Complainant in this case $10,000 in emotional distress damages. MMPS of New York paid the Complainant $7,822.87 in back pay, $22,177.13 in emotional distress damages, and $10,000 in civil penalties. Food Colony LLC d/b/a C-Town Supermarkets Settles Discrimination Claims Based on Age, Race, and Color, Providing a Written Apology to Complainant, Undergoing Training, Revising Policies, and Updating Employment ApplicationA prospective employment applicant, who was sixty-seven years old and self-identified as brown-skinned and of mixed race, alleged that he saw a help wanted sign posted outside of Respondent Food Colony LLC d/b/a C-Town Supermarkets (C-Town). For detailed information about the program, including eligibility requirements and certain limitations that apply, please see Section 922 of the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Amended Rules implementing the program. To resolve the case, NYIT agreed to pay $23,333.33 in emotional distress damages, $11,666.66 in attorney's fees, a $15,000 civil penalty, and to revise its policies to conform with the NYC Human Rights Law, provide anti-discrimination trainings to employees, and to post the Commissions Notice of Rights Poster in every New York City location. The settlement came almost one year before the case was set for a jury trial in federal district court in Richland, WA. Among other things, these protections provide that an employer may not discharge, demote, suspend, threaten, harass, or in any way discriminate against a whistleblower in the terms or conditions of employment for: In addition, the SEC may also bring an enforcement action against a company that violates the anti-retaliation provisions of Dodd-Frank. Complainant responded that he was engaged. The Rule states [n]o person may take action to impede an individual from communicating directly with the Commission staff about a possible securities law violation, including enforcing, or threatening to enforce, a confidentiality agreementwith respect to such communications.. LabCorp also posted the Commissions Notice of Rights posters at its Patient Service Centers in New York City and paid the Complainant $1,000 in emotional distress damages. The Commissions Law Enforcement Bureau conducted an investigation and found evidence that Complainant's supervisor made inappropriate and illegal comments based on stereotypes, including telling Complainant, "It is very selfish of you to have all these children you cannot take care of," "You should use birth control," and, "When are you going to stop having babies?" After a long negotiation process, the parties agreed that Respondent would pay $1,000 as a civil penalty to the City of New York, discontinue a pending action in state court against the Complainant and attend the Commissions anti-discrimination training. Richard Sandoval Hospitality Agrees to Training and Notice of Rights Postings for Discriminatory Questions about Immigration at a Manhattan RestaurantAfter receiving credible information that Zengo, a restaurant in Manhattan, was making inappropriate inquiries regarding the immigration status of its customers, the Commission sent a cease and desist letter and ultimately came to an agreement with Richard Sandoval Hospitality (RSH), the restaurants corporate owner. Employment. Landlord Agrees to Pre-Complaint Resolution by Accommodating Tenant with Disability, Policy Changes, Training, and PostingsA landlord provided a tenant with a reasonable accommodation for her disability by replacing Complainants bathtub with a walk-in shower, created a reasonable accommodations policy for all current and prospective tenants, agreed to attend the Commissions anti-discrimination training, and to display posters outlining its obligations under the NYC Human Rights Law. For example, if the defendant is willing to enter into mediation, this will not require them to go to court. 3-17739 (December 20, 2016), In the Matter of International Game Technology, File No. Respondents denied these allegations, and the Complainant and Respondents entered into a conciliation agreement requiring Respondents to pay $17,500 in emotional distress damages to Complainant. Following the Law Enforcement Bureaus investigation, the Commission, Complainant, and Zara entered into a conciliation agreement requiring Zara to pay Complainant $30,000 in emotional distress damages; train its New York City employees on the New York City Human Rights Law and the Commissions Gender Identity and Gender Expression Legal Enforcement Guidance; post in its New York City places of business the Commissions Notice of Rights poster, the Commissions Equal Bathroom Access Poster, and a policy explaining that patrons can use the fitting room that most closely aligns with their gender identity; and partner with the New York City LGBT Community Center, and at least one community-based organization dedicated to serving the transgender, gender non-conforming, and non-binary communities, to create employment opportunities for these communities.