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.. 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. Additionally, MSKCC agreed to modify its employment policies, including its reasonable accommodation policy, to reflect the NYC Human Rights Law. The patron ultimately decided not to pursue the matter. Crunch agreed to pay a total of $40,000 in compensatory damages to the Complainants and $20,000 as a civil penalty; to change its national hiring policy to prevent background checks before making conditional employment offers; to revise its New York City hiring policy to match the requirements of the Fair Chance Act and the Commissions own guidance; to post the Commissions Know Your Rights notices in its offices; and to train its staff. Remsen Owners Corp. Agrees to Install a Railing to Rectify Inaccessibility IssueComplainant reported to the Commissions Law Enforcement Bureau that the exterior steps of her building, belonging to Respondent Remsen Owners Corp., prevented her from entering or exiting unless assisted by another individual. Respondents resolved the matter pre-complaint by entering into a Stipulation and Order with the Commission, requiring Respondents to design and construct a compliant ramp at the buildings entrance to accommodate all tenants unable to use the front stairs due to a disability. 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. Harassment, Forced to Quit. 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. You may bring an action in federal court within a certain time period if your employer violates the anti-retaliation provisions of Dodd-Frank. If you have been asked to sign such an agreement, or have already signed such an agreement, and want to understand how the rules may apply to you, we encourage you to consult with an attorney. CFM will also post the Commissions Notice of Rights, Single-Sex Facilities Notice, and Pink and Blue campaign posters at its Bronx location, and a member of its management will attend training at the Commission. 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. Landlord Pays $5,000 in Damages in Source of Income Discrimination CaseA complainant alleging source of income discrimination based on his attempt to use his HASA voucher brought a complaint against 639 Realty LLC and Affordable Housing Real Estate Corp. PSH will also post the Commissions Notice of Rights and a member of its management will attend training at the Commission. 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 Respondents also agreed to place two voucher holders in immediate need of housing in set aside units as part of the agreement. The settlement came almost one year before the case was set for a jury trial in federal district court in Richland, WA. Landlord Agrees To Settle Commission-Initiated Disability Discrimination Case for Civil Penalties, Installation of Ramps, Affirmative ReliefThe Law Enforcement Bureau initiated an investigation after it received multiple complaints from building residents of 8750 Bay Parkway, Brooklyn, about the need for external and internal ramps, and agents of the landlord refused to construct those ramps. 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. 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. 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. In conciliation, Respondents agreed to pay $11,000.00 to Complainants, attend training, train their staff on their new policy pertaining to providing reasonable accommodations to people with disabilities and those who use service animals, and post the Commissions Notice of Rights in English and Spanish. 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. Disability Discrimination. 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. This is why it is important to consult with a lawyer before signing any type of contract with anyone. CBHS revised its dress code and signed a stipulation and order agreeing to distribute the revised policy to its employees. Bloomsbury Publishing Settles Salary History Discrimination Claim, Pays $5,000 Civil Penalty; and Agrees to Policy Changes, Training, and PostingsAfter receiving credible information that Bloomsbury Publishing was asking job applicants for salary history, in violation of the New York City Human Rights Law, the Commission filed a Commission-initiated complaint. Nanny Agency Pays $2,500 in Emotional Distress Damages for Violation of the Fair Chance Act, Agrees to Affirmative ReliefComplainant, an applicant, filed a complaint of discrimination against Absolute Best Care Nanny Agency, alleging that she was asked to complete an Authorization for Release of Information, which required a background check prior to a conditional offer of employment. $10,000. 3-20904 (June 22, 2022), In the Matter of David Hansen, File No. 6LinkedIn 8 Email Updates, Protections Against Actions Taken to Impede Reporting, Department of Labors whistleblower website, In the Matter of International Game Technology, In the Matter of Paradigm Capital Management, Inc. and Candace King Weir. 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. The Commission filed a complaint and issued a determination of probable cause. Respondent initially demanded that the Complainant retain the architect herself and pay for the materials and installation. 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. This can include instances where a person feels they were fired unfairly or that they have experienced a negative influence on the way they have been treated. Crunch Fitness Pays $60,000 in Damages and Penalties and Changes National Hiring Policy To Settle Two Fair Chance Act CasesCrunch LLC (Crunch), the company that runs the national gym chain Crunch Fitness, has agreed to settle two cases filed by personal trainers who were rejected because of their criminal histories. The investigation by the Commissions Law Enforcement Bureau revealed that LabCorp quickly apologized to the Complainant following the incident and offered to accommodate him in his home. Specifically, the charge numbers show the following categories of discrimination, in descending order of frequency: The Commission and the parties entered into a conciliation agreement requiring Respondents to pay Complainant $15,000 in emotional distress damages, pay $1,500 in civil penalties to the City of New York, train its employees on the NYC Human Rights Law protections in housing, create an anti-discrimination policy, post the Commissions Fair Housing poster, distribute the Commissions Fair Housing brochure, and submit to monitoring for a period of two years. 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. If you are represented by counsel, you are on constructive notice of the TCR filing requirement. City of New York. 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. However, sometimes these lawsuits arise when employees, customers or potential customers are offended by another persons comment, gesture or action. Revenues; Expenses; Assets; Liabilities; Revenues FYE 12/2020 FYE 12/2019 % Change; Total grants, contributions, etc . Prior to the conciliation, Respondents attended an anti-discrimination training, created a new reasonable accommodation policy for emotional support animals and service animals, and posted the Commissions anti-discrimination notices at all residential buildings in its portfolio. 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. LEB found that the authorization form used by Yodle in their employment applications was in violation of the New York City Human Rights Law (NYCHRL). 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. Respondent agreed to pay Complainant $5,000 in emotional distress damages and issue a written apology. The lawsuit underscores the fact that all employers, both public and private companies, are susceptible to these types of claims. 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. 3-17371 (August 10, 2016), In the Matter of Merrill Lynch, Pierce, Fenner & Smith Incorporated and Merrill Lynch Professional Clearing Corp., File No. The parties agreed to a settlement in which Bloomsbury paid $5,000 as a civil penalty to the City; revised its policies to prohibit discrimination based on salary history, credit, and criminal history; and revised its job application template to comply with the revised policies. The Commission, the Complainant and Respondent entered into an agreement for Respondent to pay Complainant $5,000 in emotional distress and a civil penalty of $7,500. During the Law Enforcement Bureau's investigation, the landlord replaced the tub, and the property manager attended an anti-discrimination training. Instead, they used the same generic reasoning that improperly weighed the relevant factors, in violation of the Fair Chance Act. We encourage you to provide information about potential securities law violations to the SEC by submitting a tip. 3-20820 (April 12, 2022), In the Matter of Guggenheim Securities, LLC, File No. Respondents agreed to pay $15,000 in civil penalties, to include the Commissions Notice of Rights in all new leases, to post the Commissions Notice of Rights in their building, and to attend training on their obligations under the NYC Human Rights Law. The Law Enforcement Bureau issued a finding of probable cause against the Respondent restaurant and its owners, and thereafter Complainant and Respondents entered into a private settlement agreement resolving the case for $30,000 in damages to Complainant. Colony East 5th Realty LLC Pays $39,000, and Installs Ramp To Settle Disability Discrimination ComplaintComplainant alleged that her landlord, Colony East 5th Realty LLC, failed to accommodate her disability by failing to construct a ramp at her apartment buildings main entrance. 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. 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 Commissions Legal Enforcement Bureau investigated, and OMG agreed to pay Complainant $30,000 in emotional distress damages. Landlord Settles Alienage Status Discrimination Case for $15,000 in Civil Penalties and Affirmative ReliefThe Commission filed a Commission-initiated complaint against a landlord alleging citizenship status discrimination for sending a series of harassing e-mails to a potential tenant regarding their citizenship status, followed by e-mails to one of their bosses seeking to have them removed from the country. The employer had failed to properly apply the Article 23-A analysis pursuant to the Fair Chance Act. The landlord and management, Moshe Piller, 8750 Bay Parkway, LLC, and MP Management, LLC, then constructed internal and external ramps, compliant with the American National Standards Institute code. Such an agreement may violate the federal securities laws. In the Matter of Activision Blizzard, Inc. Virgin Atlantic Airways Pays $18,000 in Damages For Failing to Provide a Reasonable Accommodation to an EmployeeComplainant, who has a disability that was being aggravated by her job tasks, requested leave from her job with Virgin Atlantic as a reasonable accommodation for her disability. Complainant and Respondents entered into a conciliation agreement requiring Respondents to pay $25,000 in emotional distress and lost housing opportunity damages to Complainant and $15,000 in civil penalties to the general fund of the City of New York. The Commission has the authority to assess fines and obtain monetary damages for those aggrieved by violations of the New York CityHuman Rights Law. 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. Tex. The Dodd-Frank Wall Street Reform and Consumer Protection Act expanded the protections for whistleblowers and broadened the prohibitions against retaliation. Total receipts decreased by 26.3%. Indeed, it's the #1 claim individuals make at the U.S. Bloomsbury will also post the Commissions Notice of Rights and Salary History Ban posters in its offices and a member of its management will attend training at the Commission. PSH signed a stipulation and order agreeing to revise its admission policies to apply equally to people of all genders and sexual orientations. States are considering legislation ranging from additional . FY 2016 - FY 2020: As a percentage of total charge receipts, receipts that included a claim for retaliation increased. What Possible Damages Could Be Awarded to You After a Motorcycle Accident? Touro refused to grant the accommodation and terminated Complainant. You may also be able to file a retaliation complaint in federal court under Section 806 of the Sarbanes-Oxley Act of 2002 (SOX). The Commissions Law Enforcement Bureau conducted an investigation and concluded that there was probable cause to credit the complainants allegations that Respondents unlawfully inquired into his criminal history prior to a conditional offer of employment. Respondents also updated their policies on source of income discrimination and agreed to attend an anti-discrimination training. Yodle Inc. Settles Case for $5,000 in Civil Penalties After Using Unlawful Language in their Employment ApplicationsA prospective job applicant used Yodles online employment application system to apply for a sales position at the company. 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?" Employer, 1199 SEIU Child Care Fund, Pays $31,500 in Damages and Civil Penalties To Resolve Gender-Based Harassment ClaimsComplainant, an employee of a labor union fund, filed a complaint alleging that her supervisor subjected her to a gender-based hostile work environment. Due to Respondents demonstrating financial hardship after being forced to close because of the COVID-19 pandemic, civil penalties were waived. Only the SEC, however, may file an enforcement action for a violation of Rule 21F-17(a). After an investigation by the Commissions NYC Law Enforcement Bureau, the parties agreed to enter into a conciliation agreement in which Respondent Dalton agreed to pay Complainant $7,000 in emotional distress damages. 3-17801 (January 19, 2017), In the Matter of Blackrock, Inc., File No. 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. After the Commissions Law Enforcement Bureau found probable cause, Respondents agreed to pay Complainant $14,500 in emotional distress damages, $24,500 in civil penalties, attend a NYC Human Rights Law training, create an anti-discrimination policy, post the Commissions Fair Housing poster, and construct a ramp at the apartment buildings main entrance. An Iowa jury recently awarded $80.2 million in punitive damages and $527,872 in compensatory damages to a manager who claimed she was discriminated against because of her sex and retaliated against when she complained of the discrimination. 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. American Museum of Natural History Settles Gender and Pregnancy Discrimination Case for $30,000 in Emotional Distress Damages, Agrees to Implement Affirmative ReliefComplainant filed a claim against her former employer, the American Museum of Natural History, alleging that her supervisor subjected her to a hostile work environment on the basis of her gender and pregnancy. You do not need to reside or work in the United States to be eligible for an award under our whistleblower award program. No matter what type of case you are involved with, it is imperative to retain an attorney that is well-versed in the area of discrimination and retaliation. The Respondent cooperated with the Law Enforcement Bureaus investigation and sought to mitigate damages to the Complainant. He was dissuaded from applying for the job due to his credit history, and filed a complaint with the Law Enforcement Bureau. Respondent quickly modified the application but disputed the reason for withdrawing the conditional offer of employment. 3-17586 (September 28, 2016), In the Matter of Health Net, Inc., 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. During her employment, Complainants supervisors questioned her gender, asked her invasive questions about her body, and assigned her impossible tasks. 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. If you are looking to file a lawsuit, you must first know whether your . Additionally, MMPS of New York instituted new policies regarding pregnancy, childbirth, and related medical conditions as well as lactation polices for new parents who have returned to work; they also agreed to attend training and display the Commissions Notice of Rights poster. Landlord and Broker Settle Source of Income Discrimination Case for $21,000 and Affirmative Relief, Including Set-Aside of Apartments for Voucher HoldersBased on paired testing by the Fair Housing Justice Center contracted by the Commission, the Commission filed a Commission-initiated complaint against Ginesteri Equities and Giovanni Ginestri, a landlord, and Signature Spaces, a broker, alleging source of income discrimination. Regardless of whether the Dodd-Frank anti-retaliation protections extend to you, you may remain eligible for an award under our whistleblower award program. 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. 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. While Complainant was working, he was classified as an independent contractor in both Respondents HR systems. Somethingreek Restaurant Agrees to Pay $2,000 in Emotional Distress Damages, Attend Training, Create Anti-Discrimination Policy, and Post Notice of Rights Complainants, who have disabilities and use a service dog, filed a complaint alleging that a restaurant employee told them they could not remain in the restaurant with their service dog. 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. Enforcement Actions Based on Retaliatory Conduct, SEC v. GPB Capital Holdings, LLC, et al.,21-cv-00583 (E.D.N.Y., filed February 4, 2021), In the Matter of SandRidge Energy, Inc., File No. The Respondent agreed to pay the Complainant $10,000 in emotional distress damages, conduct training for staff on the Fair Chance Act, create new employment policies prohibiting criminal history discrimination, and post the Commission's Fair Chance Act and Notice of Rights poster in all locations. As has been the case in past months, most of the settlements involved charges of disability discrimination (6) and sexual harassment, or sexual harassment and retaliation (5). Race, Disability, Retaliation. Stop and Shop Supermarket Pays $10,000 in Emotional Distress Damages and Agrees To Affirmative Relief in Religious Discrimination CaseComplainant, a Muslim, filed a complaint against Stop and Shop Supermarket Company alleging that an employee made an Islamophobic comment to him during a visit to one of companys stores in Queens.