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Erin Daly v. Citigroup, Inc., et al.

Paid petition · United States Court of Appeals for the Second Circuit, No. 18-665 · judgment September 19, 2019

Certiorari denied · February 24, 2020

Pre-decision estimate: 4% cert probability

Before the decision, roughly the 4.1% base rate. The model weighted this up for a Second Circuit decision below, a circuit split argued in the petition, and a petition filed soon after the judgment below, and down for a business respondent.

Questions presented

Whether the provisions under the Sarbanes-Oxley Act as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 protect whistleblowers from retaliation by former employers where the employer used the FINRA Form U-5 to blacklist and repeatedly interfere with the former employee’s business prospects after the employee reported illegal acts and SEC violations to her superiors and Defendants’ lawyers.
Whether a whistleblower suing under the Sarbanes-Oxley Act can be mandated by courts to arbitrate claims of retaliation against a defendant bank, where Sarbanes-Oxley provides that “[n]o predispute arbitration agreement shall be valid or enforceable, if the agreement requires arbitration of a dispute arising under this section”? 18 U.S.C. § 1514A(e)(2).

Counsel of record

For petitioner
Richard Harold Wolfram
Law Office of Michelle N Daly, PLLC

For respondent
Michael Delikat
Orrick, Herrington & Sutcliffe

Case

Conference history
Distributed for 1 conference

Proceedings

Feb 24 2020
Petition DENIED.
Jan 15 2020
DISTRIBUTED for Conference of 2/21/2020.
Jan 09 2020
Waiver of right of respondents Citigroup, Inc., et al. to respond filed.
Dec 16 2019
Petition for a writ of certiorari filed. (Response due January 21, 2020)