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Articles Posted in Sarbanes-Oxley Act

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District Court Denies UBS Summary Judgment in Sarbanes-Oxley Whistleblower Lawsuit

The U.S. District Court for the District of Connecticut has decided not to grant summary judgment to UBS AG (UBS) and UBS Securities LLC in Mary Barker’s lawsuit claiming that her firing violated the whistleblower provision of the Sarbanes-Oxley Act. Judge Janet Hall found that UBS failed to show that…

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