Samaroo v. Bank of New York Mellon (agency decision, April 12, 2021)

Plain-English summary

Karamchand Samaroo appealed an ALJ decision granting Bank of New York Mellon's motion for summary judgment on his Sarbanes-Oxley complaint. While the appeal was pending, Samaroo filed an original action in the United States District Court for the Eastern District of New York under the governing regulation. The Board held that the Department of Labor no longer had jurisdiction because Samaroo had chosen to proceed in district court. It dismissed the administrative case.

Decision snapshot

• Cited authorities: 18 U.S.C. §§ 1514A and 1514A(b)(1)(B); 29 C.F.R. Part 1980 and § 1980.114
• Outcome: Administrative complaint dismissed because the complainant proceeded in federal district court.
• Key point: Filing the SOX action in district court deprived the Department of Labor of jurisdiction over the administrative complaint.

Full text (DOL official public release)

U.S. Department of Labor Administrative Review Board
200 Constitution Ave. NW
Washington, DC 20210-0001

IN THE MATTER OF:

KARAMCHAND SAMAROO, ARB CASE NO. 2021-0021

            COMPLAINANT,                         ALJ CASE NO. 2019-SOX-00010

     v.                                          DATE: April 12, 2021

BANK OF NEW YORK MELLON,

            RESPONDENT.

Before: James D. McGinley, Chief Administrative Appeals Judge, and Thomas H. Burrell, Administrative Appeals Judge

                       ORDER DISMISSING COMPLAINT

      PER CURIAM. This case arises under Section 806 of the Corporate and

Criminal Fraud Accountability Act of 2002, Title VIII of the Sarbanes-Oxley Act (SOX or Section 806), as amended, and its implementing regulations.1 On March 16, 2021, the Administrative Review Board (Board) issued a Notice of Appeal and Order Establishing Briefing of the Administrative Law Judge Noran J. Camp’s Decision and Order Granting Respondent’s Motion for Summary Judgement issued February 24, 2021.

     On April 7, 2021, Complainant filed a Notice with the Board indicating that

on March 23, 2021, he had filed an original action pursuant to 29 C.F.R. § 1980.114, with the United States District Court for the Eastern District of New York, seeking review.

     Since Complainant has chosen to proceed in district court, the Department of

Labor no longer has jurisdiction over his case. As the statute provides, the “district

1 18 U.S.C. § 1514A (2010); 29 C.F.R. Part 1980 (2020). court of the United States . . . shall have jurisdiction over such an action.”2 We therefore DISMISS this case on the ground that Complainant has removed it to district court.

SO ORDERED.

2 18 U.S.C. § 1514A(b)(1)(B); see also Kelly v. Sonic Auto., ARB No. 2008-0027, ALJ No. 2008-SOX-00003, slip op. at 4 (ARB Dec. 17, 2008) (the filing of Kelly’s SOX complaint in district court deprived the Department of Labor of jurisdiction over his complaint).