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Ott v. Fred Alger Management, Inc.

DISCLAIMER: Our firm's past results do not predict or guarantee future success. Each case is unique. Read more

In Brief

The Court found that a whistleblower need not be eligible for an SEC reward before being protected by Dodd-Frank’s anti-retaliation provisions.

What Happened in Court

the Ott Court determined that an individual need not be eligible for a reward in order to be protected from retaliation. Ott made disclosures to the SEC, though the Defendant claimed that the information was not “original,” therefore making Ott ineligible for a reward under the statute and disqualifying her from the retaliation protections of 15 U.S.C. § 78u-6(h). The Court held that “[T]he SEC’s implementing regulations make clear that the anti-retaliation protections apply whether or not you satisfy the requirements, procedures and conditions to qualify for an award.”

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