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With the passage of Dodd-Frank, Congress amended the Exchange Act to add Section 21F, which established a series of new incentives and protections for individuals to report possible violations of the federal securities laws, including enhanced employment retaliation protections. Disability Discrimination. 3-17396 (August 16, 2016), In the Matter of BlueLinx Holdings Inc., File No. To settle the case, Respondents Mulberry and Alpha each paid a civil penalty of $1,000 to the City of New York, and Respondent Alpha also paid $2,000 to the Complainant for emotional distress. $395,000 Terminated.com Lawyers obtained more than $395,000 in a lawsuit alleging retaliation for whistleblowing. All Respondents agreed to also post the Commissions Notice of Rights and Source of Income discrimination posters in their building(s) or office, revise policies, and attend training on their obligations under the NYC Human Rights Law. Top 50 Civil Rights Violation Settlements in the United States in 2020 3-20370 (June 23, 2021), SEC v. Leon Vaccarelli, et al., 17-cv-01471 (D. Conn., filed Aug. 31, 2017), SEC v. Collector's Coffee, Inc. (d/b/a Collectors Cafe), and Mykalai Kontilai, 19-cv-04355 (November 4, 2019), SEC v.Kenneth W. Crumbley,16-cv-00172(N.D. 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. 3-20820 (April 12, 2022), In the Matter of Guggenheim Securities, LLC, File No. Dodd-Frank does not specifically state whether, or to what extent, the anti-retaliation protections apply to individuals or conduct outside of the United States. After the Commissions Law Enforcement Bureau investigation, Newsbar agreed to pay $5,000 in emotional distress damages, for the owner to perform 40 hours of community service, for the owner and full-time employees to attend training on the NYC Human Rights Law, create and implement anti-discrimination policies under the NYC Human Rights Law, and display a service animal poster in its place of business. The monkey figurine from the collection evoked images of Sambo, a caricature that, over generations, has been used to mock and dehumanize Black people. There are many different types of businesses, ranging from stores to franchises to services. Reduction in pay or hours. The parties conciliated, with Ginestri agreeing to pay $14,000 in civil penalties and to set aside four units for individuals with public sources of income, and Signature agreeing to pay $7,000 in civil penalties. Dolphin Fitness Agrees to Change Policies to Allow Transgender Patrons to Use Proper FacilitiesAfter receiving credible information that Dolphin Fitness, a Bronx gym, said that transgender people could not use the facilities that accorded with their gender identities unless they had surgery, the Commission sent a cease and desist letter and ultimately came to an agreement with Strong Pelham Fitness, Inc. (SPF), the gyms owner, which also owns and operates another Dolphin Fitness in Brooklyn. 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. Respondents also agreed to one year of monitoring by the Commission. However, sometimes these lawsuits arise when employees, customers or potential customers are offended by another persons comment, gesture or action. Respondents also agreed to update their sexual harassment policy and training, post and distribute the Commission's Stop Sexual Harassment Act Notice and Fact Sheet and ensure that all of its employees complete the Commissions sexual harassment prevention training. Property Management Company Firstservice Residential and Housing Provider K&T Realty Associates LLC Pay $16,500 in Damages and Penalties in Citizenship Status Discrimination CaseComplainant filed a complaint alleging that Respondents required her to provide a double security deposit due to her citizenship status, as a non-US citizen. Respondents will attend NYC Human Rights Law training, create employment policies in compliance with the NYC Human Rights Law, and post the Commissions Stop Sexual Harassment in NYC Act Notice, Notice of Rights poster, and Pregnancy Discrimination in Employment Notice. After receiving the Complaint, Respondent conducted an internal investigation and took appropriate disciplinary action against the involved employees. Respondent agreed to pay a $40,000 civil penalty; implement a ban the box policy on a nationwide basis; disregard misdemeanor convictions more than 3 years old for non-driver positions, with certain exceptions; limit its consideration of convictions to those within the past 7 years, with certain exceptions; train all New York City-based managers and employees who make hiring decisions for New York City employees on the NYC Human Rights Law, including the Fair Chance Act; revise its policies to conform with the NYC Human Rights Law; and post the Commissions Legal Notices. OSHA News Releases - Whistleblower | Occupational Safety and Health Touro agreed to pay $45,000.00 in emotional distress damages, $20,000.00 in civil penalties, and $4,914.00 in back pay. Only the SEC, however, may file an enforcement action for a violation of Rule 21F-17(a). They are not rules, regulations or statements of the Securities and Exchange Commission. Your email address will not be published. Equal Employment Opportunity Commission (EEOC).. A retaliation claim consists of three elements: (1) a protected activity; (2) materially-adverse employment action; and (3) a nexus between them.An employee engages in "protected activity" when s/he complains of . The Academy will also post the Commissions Notice of Rights and natural hair posters along with its new policy, and a member of its management will attend training at the Commission. 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 Commissions Legal Enforcement Bureau investigated, and OMG agreed to pay Complainant $30,000 in emotional distress damages. Race, Disability, Retaliation. She also stated that she was fired after she reported her supervisor to management. Employment. RCI also investigates: pay inequity based on sex. Wednesday, September 30, 2020. . In this instance, they may turn to civil litigation, which will not require a trial. 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). Securitas Security Services Settles Disability Discrimination Case for $15,000 in Damages and Penalties and Agrees to Training, Policy Revisions and Legal Postings Complainant filed a disability discrimination complaint against Securitas Security Services alleging that Respondents failed to accommodate her disability, constructively terminated her employment, and retaliated against her based on her disability. City of New York. $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 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. Unlike the anti-retaliation protections, the protections against actions taken to impede reporting possible securities law violations are not limited to the employee-employer context. 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. The Respondent also agreed to create a comprehensive policy regarding assessment of applicants with criminal conviction histories' to provide training to human resources employees; and to display postings outlining its obligations under the NYC Human Rights Law. 3-21294 (Feb. 3, 2023), In the Matter of The Brink's Company, File No. Many times, individuals who file such lawsuits simply do not have the financial means to pursue such cases. Read Gay City News coverage of the case here. Tex. Landlord Pays $9,000 in Damages for Failing to Accommodate Tenant; Replaces Bathtub, Changes Policies, Posts Anti-Discrimination Notices in 14 Buildings, and Agrees to TrainingA Bronx tenant requested an accommodation for her landlord to modify her bathtub in order to accommodate her disabilities.The tenant filed a complaint alleging that her landlord refused to replace the bathtub. Chipotle will also post the Commissions Notice of Rights in English and Spanish, the Pregnancy Discrimination Notice, and Stop Sexual Harassment Notice, at all its New York City locations. The resulting plans were adopted nationally across the YMCA of the USA (YUSA), allowing eligible employees and their dependents nationwide to access the plans. In order to fight back against those who have perpetrated the wrong, it is essential that you have a strong defense. Respondents agreed to pay $3,600 in backpay, $6,400 in emotional distress damages, $5,000 in civil penalties to the general fund of the City of New York and to conduct anti-discrimination training, create a reasonable accommodation policy that places an obligation on Respondent to initiate a cooperative dialogue in accordance with the requirements of the New York City Human Rights Law, submit to monitoring for one year, and post the Commissions notice of rights in their office. Home. Respondent Dalton also agreed to ensure its policies regarding tenant screening and reasonable accommodations are in compliance with the NYC Human Rights Law, to provide training to its employees, and to display postings outlining its obligations under the NYC Human Rights Law. On February 21, 2018, the United States Supreme Court issued an opinion in Digital Realty Trust, Inc. v. Somers stating that the Dodd-Frank anti-retaliation provisions only extend to those persons who provide information relating to a violation of the securities laws to the SEC. In addition, Pinnacle Management agreed to set aside four apartments in their portfolio for applicants with housing subsidies or vouchers and update their policies in accordance with the source of income provisions of the NYC Human Rights Law. Settlements 2021/2022; Settlements 2020/2021; Settlements 2019/2020; Settlements 2018/2019; Settlements 2017/2018; Settlements 2016/2017; Settlements 2015/2016; Settlements 2013/2014; Settlements 2012/2013; Settlements 2011/2012; Settlements 2010/2011; Settlements 2009/2010; Settlements 2008/2009; Settlements 2007/2008; Settlements 2006/2007 . The Commission's investigation revealed that Respondent's application was only distributed to a small subset of applicants. In addition to discrimination charges, in fiscal year 2020, the EEOC resolved 165 lawsuits and filed an additional 93 lawsuits. Dalton Management Company Settles Complaint Alleging Discrimination on the Basis of Source of Income for $7,000 in Damages to ComplainantComplainant, a prospective tenant, filed a complaint against Dalton Management Company, LLC, the management company of a building where Complainant had applied for an apartment, alleging that she was unlawfully denied housing because of her source of income. 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 employee failed to assist the patient and allegedly told him that he should have brought someone with him to help. The Respondent agreed to pay $6,000 to the Complainant in emotional distress damages and agreed to display the Commissions Notice of Rights poster and to training for the owner and manager on the NYC Human Rights Law. Following the Law Enforcement Bureaus investigation, the Commission, Complainants, and Respondent entered into a conciliation agreement requiring Respondent to pay Complainants $2,000 in emotional distress damages; attend training on the NYC Human Rights Law; create and implement an anti-discrimination policy; and post the Commissions Notice of Rights and Service Animals Welcome posters. Respondents Pay $15,000 in Emotional Distress Damages and Agree to Bring Complainants Account Balance to Zero in Source of Income Discrimination CaseComplainant, a Section 8 recipient, filed a Complainant alleging that her landlord refused to allow her to begin using her Section 8 voucher after she became eligible for the voucher during her tenancy. After an investigation, the Commissions Law Enforcement Bureau issued a probable cause finding. 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. 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 Club will also post the Commissions Notice of Rights and a member of its management will attend training on the New York City Human Rights Law at the Commission. In the Matter of Activision Blizzard, Inc. The investigation found that the restaurant owner made one Complainant show the medical device affixed to her body in public and after doing so, denied Complainants service on the basis of one Complainants disability and her service animal. The Commissions Law Enforcement Bureau found that MSKCC violated the NYC Human Rights Law by failing to provide Complainant a reasonable accommodation. Services for the Underserved, Inc. Settles Complaint Alleging Discrimination on the Basis of Criminal Conviction History for $35,500 in Damages and PenaltiesComplainant, a prospective employee, filed a complaint against Services for the Underserved, Inc., a nonprofit agency providing services to individuals with disabilities, alleging that her job offer had been unlawfully rescinded after a required background check. Aarons Inc. Settles Fair Chance Act Violations for $40,000 in Civil Penalties, Implements Ban the Box Policies NationwideTesting conducted by the Commission revealed that Aarons Inc., a lease-to-own retailer, advertised positions in New York City with the following unlawful language included in its job postings, A drug screen and criminal background investigation is required and an online employment application form requiring applicants to allow Respondent to conduct a criminal background check and credit history check. Chipotle Mexican Grill, Inc. Age, Disability. For example, if the defendant is willing to enter into mediation, this will not require them to go to court. Complainant, Respondents, and the Commission then entered into a conciliation agreement requiring Respondents to pay $9,000 in emotional distress damages to Complainant. The parties entered into a conciliation agreement in which Respondents paid Complainant $59,500 in full back pay and $10,000 in emotional distress damages; Respondent HSBC paid $30,000 in civil penalties to the City of New York; updated their discrimination policies to comply with the NYC Human Rights Law; posted the Commissions Notice of Rights, Stop Sexual Harassment Act Notice, and Pregnancy Discrimination Notice; and trained all supervisory/managerial employees with hiring responsibilities on NYC Human Rights Law. Exit Realty Central, Landlords, and Broker Agree To Pay $10,000, Attend Training, Create Policies, and Post Notices to Settle Presence of Children CaseRespondent Exit Realty Central (Exit Central), an individual broker, and three individual landlords have agreed to settle a case filed by an applicant, a single mother, who they refused a showing at the landlords unit after the individual broker said she had too many kids. An investigation by the Commissions Law Enforcement Bureau confirmed that the individual broker sent the text message while working for Exit Central. Total receipts decreased by 26.3%. After investigation by the Commissions Law Enforcement Bureau, Respondent agreed to enter into a stipulation and order to accommodate Complainants disability by installing a railing on the main entrance steps of the building. 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. COVID-19 Retaliation ClaimsA 2020 Trend in Employment Litigation? 2020 Settlement Highlights Among the Commission's 2020 Settlements, fashion retailer Zara agreed to pay $30,000 in emotional distress damages and work to create employment opportunities for transgender, gender non-conforming, and non-binary New Yorkers ( March ). After the Law Enforcement Bureau issued probable cause and referred the case to the Office of Administrative Trials and Hearings, Respondents agreed to pay Complainant $15,000 in damages, pay a $20,000 civil penalty to the general fund of the City of New York, update its anti-discrimination policies, conduct trainings on the New York City Human Rights Law, and post the Commissions Fair Housing poster on its premises. The lawsuit against Trader Joe's provides a rough outline of a whistleblower retaliation claim arising from COVID-19 and what an employer should not do (assuming for the moment, the core allegations are accurate). The Respondents agreed to pay $25,000 in civil penalties, attend an anti-discrimination training, create a reasonable accommodation policy for the New York City-based buildings in its portfolio, submit to monitoring for one year, and post the Commissions anti-discrimination notices throughout the buildings in its portfolio. You do not need to reside or work in the United States to be eligible for an award under our whistleblower award program. He was dissuaded from applying for the job due to his credit history, and filed a complaint with the Law Enforcement Bureau. Sex Discrimination. Respondents also provided information to the Commission about ongoing federal monitoring of EEO complaints, and they completed the following: posted anti-sexual harassment and nondiscrimination notices throughout their Fleet Services locations, distributed anti-sexual harassment fact sheets to FDNY employees, and conducted a sexual harassment prevention training, reviewed and approved by the Commission. HFF will also post the Commissions Notice of Rights and the manager will attend training at the Commission. 3-17586 (September 28, 2016), In the Matter of Health Net, Inc., File No. Memorial Sloan Kettering Cancer Center Pays $100,000 Damages and Penalties For Failing to Engage In a Cooperative Dialogue When a Reasonable Accommodation was RequestedAfter recovering from a stroke, Complainant was permitted to return to work part-time for six months as a reasonable accommodation, after which she would be required to return to work full- time. 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. 2020 BLACK LIVES MATTER Open Letter to Wealthy Americans: Black Lives Should Matter To You . After completing the application, in which Complainant was required to share criminal history information, Respondent never followed up with her to refer her to any clients. As part of the conciliation agreement Respondent agreed to pay Complainant $30,000 in emotional distress damages, submit its policies regarding the NYC Human Rights Law to the Commission for its review and approval, conduct training on the NYC Human Rights Law for supervisory and managerial employees, and display the Commissions Notice of Rights. Additionally, Respondent LGP agreed to adopt a Patron Non-Discrimination Policy which specifically addresses the right of individuals to use single-sex facilities which most closely correspond to their gender identity and to distribute the Patron Non-Discrimination Policy and training materials to those who do regular business in the terminal. Instead, they used the same generic reasoning that improperly weighed the relevant factors, in violation of the Fair Chance Act. You may also be able to file a retaliation complaint in federal court under Section 806 of the Sarbanes-Oxley Act of 2002 (SOX). Additionally, Chipotle agreed to monitor reasonable accommodation requests for one (1) year at fifteen (15) New York City based locations and submit its log to the Commissions Law Enforcement Bureau at the end of the year. Divorce Lawyer: Understanding Their Role in Your Divorce Case, Charged with a Felony? 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. After a tumultuous 2017, federal, state, and local governments have spent the start of 2018 reconsidering their approach toward sexual harassment in the workplace. 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.. Tamosaitis agreed to a settlement of his federal retaliation lawsuit against Hanford contractor URS for $4.1 million dollars. NYC Parks Pays $25,000, Holds Training, Changes Policies, and Agrees To Rehire Survivor of Domestic Violence Respondent NYC Parks and three individual managers at the Lyons Pool and Recreation Center(Lyons) in Staten Island have agreed to settle a case filed by a former employee whom they refused to accommodate despite being informed that she was a survivor of domestic violence. Pays $10,000 and Agrees to Affirmative Relief in Fair Chance Act CaseA job applicant filed a complaint of discrimination against DB Grant Associates, Inc. alleging that Respondent, a workforce development company, circulated a job application that unlawfully inquired into his criminal history prior to a conditional offer of employment, and alleging that he was improperly denied employment on the basis of his criminal history. A member of RSHs management will also attend training at the Commission. We encourage you to submit a tip to the SEC if you believe you have been retaliated against for reporting potential securities law violations even if the retaliation occurred outside of the United States. The Respondents were cooperative with the Commissions process and were required to pay $7,500 in civil penalties, make changes to ensure their policies were compliant with the source of income provisions of the NYC Human Rights Law, attend training on the NYC Human Rights Law, send notices about the source of income protections under the NYC Human Rights Law to Respondents brokers and agents, and post notices of rights in their building. The answers to these frequently asked questions represent the views of the staff of the Office of the Whistleblower. Pays $46,220 in Damages and Civil Penalties for Failure to Provide a Reasonable Accommodation for PregnancyA pregnant Chipotle employee alerted her supervisors that due to medical restrictions related to her pregnancy she was unable to lift heavy boxes. Ultimately, Complainant alleged that he attempted to report hostile work environment, but that no steps were taken by the owners to address the unlawful conduct. EEOC releases fiscal year 2020 charge and litigation data: Retaliation 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. What exactly is meant by retribution in this situation? What Possible Damages Could Be Awarded to You After a Motorcycle Accident? As part of a conciliation agreement, Gucci agreed to: provide NYC Human Rights Law training and diversity and equity training for employees located in New York City; continue consulting with community leaders and social change experts committed to the advancement of diversity, racial equity, and inclusivity, including experts knowledgeable about these issues as they relate to the fashion industry; continue working towards improving diversity at all levels of the organization; continue to work to increase cultural sensitivity, awareness, and education across the organization, including in design and marketing; and update the Commission on the progress of its diversity, equity, and inclusion initiatives.