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Plaintiff is a former Senior CMBS (Commercial Mortgage Strategist at Defendant UBS Securities LLC ("UBS Securities"). For the reasons set forth below, Plaintiff brings this action because Defendants illegally retaliated against Plaintiff for making disclosures that are protected under Section 806 of the Sarbanes Oxley Act of 2002 ("SarbanesOxley Act") (18 U.S.C. § 1514A), thereby violating the Dodd-Frank Act of2010 ("Dodd-Frank Act")(15 U.S.C. § 78u-6(h)). Specifically, Plaintiffwas terminated for exercising his legally protected rights to inform his supervisors about, and refuse to participate in, conduct that he reasonably believed violated laws and rules designed to protect consumers from fraudulent practices in connection with the sale of securities
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Case 1:12-cv-05914-JMF Document 1 Filed 08/02/12 Page 1 of 9
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