Lisa Noller

Lisa Noller

Foley & Lardner LLP

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Latest Publications


Seventh Circuit Applies Escobar’s Materiality Standard to (Again) Reject False Certification Claim

The Escobar and Sanford-Brown Decisions - This summer, the United States Supreme Court undertook to resolve the long-running circuit split over the validity and scope of the implied false certification theory of...more

11/4/2016 - False Claims Act (FCA) False Implied Certification Theory Federal Pleading Requirements FRCP 8 FRCP 9(b) Materiality Pleading Standards SCOTUS United States ex rel Nelson v Sanford-Brown Universal Health Services Inc v United States ex rel Escobar

A Review of Recent Whistleblower Developments

SEC Brings First Stand-Alone Whistleblower Retaliation Enforcement Action - On September 29, 2016, the U.S. Securities and Exchange Commission (SEC) brought its first stand-alone whistleblower retaliation case under...more

10/10/2016 - Administrative Appeals Administrative Proceedings Anti-Retaliation Provisions Corporate Counsel Defend Trade Secrets Act (DTSA) DOL Enforcement Actions Merrill Lynch Popular Remediation Remedies Rule 21F Sanctions Sarbanes-Oxley SEC Severance Agreements Standard of Review Whistleblower Awards Whistleblower Protection Policies Whistleblowers

A Review of Recent Whistleblower Developments

SEC Awards Bounty to Whistleblower, But Offsets Award for a Judgment Against the Whistleblower - The extent to which the SEC would reward whistleblowers, who themselves engaged in wrongdoing, has been the subject of...more

4/13/2016 - Adverse Employment Action Amicus Briefs CFTC Corporate Counsel Dodd-Frank Enforcement Actions Internal Investigations Protected Activity Retaliation Sarbanes-Oxley SEC Whistleblower Awards Whistleblowers

DOJ Fraud Section Offers Super Credit in FCPA Pilot Program

This week, the Fraud Section of the Department of Justice (DOJ) announced a pilot program that extends additional “mitigation credit” to qualifying companies that “fully cooperate” in matters involving the Foreign Corrupt...more

4/9/2016 - Bribery Compliance Cooperation Corporate Misconduct Criminal Prosecution DOJ FCPA Federal Pilot Programs Federal Sentencing Guidelines Individual Accountability Internal Investigations Popular Remediation Self-Disclosure Requirements Voluntary Disclosure White Collar Crimes Yates Memorandum

Medicare Proposes to Increase RAC Use

By now, providers are very familiar with Medicare recovery audit contractors, or RACs – the private companies who have authority to review medical records at a moment’s notice. For every dollar they opine has been improperly...more

1/11/2016 - CMS Comment Period Medicare Advantage Medicare Part A Medicare Part B Recovery Audit Contractors (RACs)

A Review of Recent Whistleblower Developments

Several important matters related to whistleblower actions occurred toward the close of 2015, including the first instance of a director being held individually liable for retaliation, a dismissal of the Berman v. Neo@Ogilvy...more

1/8/2016 - Anti-Retaliation Provisions CFTC Confidentiality Agreements Corporate Counsel Dodd-Frank FCPA Internal Reporting Petition for Writ of Certiorari Sarbanes-Oxley SCOTUS SEC Whistleblower Awards Whistleblower Protection Policies

A Review of Recent Whistleblower Developments

Second Circuit Splits from Fifth Circuit on Whistleblower SEC Reporting Obligations On September 10, 2015, the Second Circuit in Berman v. Neo@Ogilvy LLC, 2015 U.S. App. LEXIS 16071 (2d Cir. 2015), ruled that...more

10/5/2015 - Anti-Retaliation Provisions Barnes and Noble Confidentiality Agreements Corporate Counsel Dodd-Frank Enforcement Actions Fraud Internal Reporting Interpretive Rule OSHA Protected Activity Reversal Sarbanes-Oxley SEC Termination Whistleblower Awards Whistleblower Protection Policies Whistleblowers

DOJ Provides Guidance on Prosecution of Individuals

The Department of Justice (DOJ) long has required entities seeking credit for cooperating with its investigations to provide what it terms “full and truthful” cooperation. In policies memorialized over time, DOJ has been...more

9/18/2015 - Cooperation Corporate Crimes Corporate Veil Criminal Prosecution Deferred Prosecution Agreements DOJ Government Investigations Guidance Update Individual Accountability Internal Investigations Non-Prosecution Agreements Personal Liability Policy Statement Professional Misconduct White Collar Crimes Yates Memorandum

IRS Seeks Identities of Americans with Undisclosed Belize Bank Accounts

Americans with secret accounts in Belize should take notice: the government is looking for you. The U.S. Department of Justice on September 15 filed a petition in federal court in Miami seeking permission to issue summonses...more

9/18/2015 - Bank of America Bank Secrecy Act Citibank Civil Monetary Penalty Criminal Penalties DOJ FBAR Fines Foreign Bank Accounts IRS John Doe Investigation Offshore Banks Summons

Second Circuit: No SEC Reporting Requirement in Dodd-Frank Whistleblower Provisions

In a much-anticipated decision, the U.S. Court of Appeals for the Second Circuit set up a possible showdown at the U.S. Supreme Court when it decided on September 10 that whistleblowers need not report to the SEC in order to...more

9/15/2015 - Anti-Retaliation Provisions Disclosure Requirements Dodd-Frank Sarbanes-Oxley SEC Whistleblower Protection Policies Whistleblowers

A Review of Recent Whistleblower Developments

SEC Awards Another Whistleblowing Compliance Officer - On April 22, 2015, the Securities and Exchange Commission (SEC) announced an award between $1.4 and $1.6 million to a compliance officer who provided information...more

7/8/2015 - Attorney-Client Privilege Certificates of Compliance Chief Compliance Officers Compliance Confidentiality Agreements Enforcement Actions False Claims Act (FCA) FINRA Internal Investigations IRS Retaliation Sarbanes-Oxley SEC Tax Court Upjohn Warnings Whistleblower Awards Whistleblower Protection Policies Whistleblowers Wrongful Termination

DOJ Pursuing Therapy Providers Under the FCA

As most recently spotlighted by the Department of Justice’s intervention in whistleblower claims against ManorCare, DOJ is increasing its enforcement of the False Claims Act (FCA) against therapy providers. In particular, DOJ...more

5/19/2015 - DOJ False Claims Act (FCA) Government Investigations Health Care Providers Healthcare Skilled Nursing Facility Skilled-Care Providers Whistleblowers

Second Circuit Denies Petition to Reconsider Newman Decision

April 3, 2015, the Second Circuit handed a significant victory to prospective defendants in insider trading cases — as well as the two defendants whose convictions had been reversed — by denying U.S. Attorney Preet Bharara’s...more

4/7/2015 - Appeals En Banc Review Fund Managers Hedge Funds Illegal Tipping Insider Trading Personal Benefit Petition For Rehearing US v Newman

SEC Brings Enforcement Proceeding Relating to Confidentiality Agreements That May Stifle Whistleblowers

After repeated public statements warning companies that might seek to stifle whistleblowers, the U.S. Securities and Exchange Commission (SEC) has brought its first enforcement action relating to language in confidentiality...more

4/3/2015 - Confidentiality Agreements Contract Terms Enforcement Actions KBR (formerly Kellogg Brown & Root) SEC Whistleblower Protection Policies Whistleblowers

Government's Health Care Fraud "Cash Cow" Keeps Mooing [Video]

The U.S. government has changed up its approach to criminal health care fraud prosecutions, joining forces with fiscal intermediaries on the civil side to ramp up investigations, and this new tactic has proven to be a cash...more

2/10/2015 - Criminal Prosecution Enforcement Actions Healthcare Healthcare Fraud

Alstom’s FCPA Guilty Plea and Fine of $772 Million Offer Compelling Lessons

The December 23, 2014, announcement by the U.S. Department of Justice (DOJ) that Alstom, S.A., a French power and transportation company, pled guilty to two Foreign Corrupt Practices Act (FCPA) charges and agreed to pay $772...more

12/30/2014 - Accounting Controls Alstom Bribery C-Suite Executives Corporate Counsel Corporate Criminal Fines Criminal Prosecution Deferred Prosecution Agreements DOJ Enforcement Actions FCPA Indictments Subsidiaries

Knowledge of Benefit Required to Convict Insider Trading Tippees

In its important ruling on what the government must prove in a criminal insider trading prosecution, the Second Circuit reversed the convictions of two portfolio managers — throwing out their cases completely, with no new...more

12/15/2014 - Dell Hedge Funds Illegal Tipping Insider Trading Material Nonpublic Information Nvidia Personal Benefit Portfolio Managers Rule 10b-5 Securities Securities Fraud US v Newman

Recent Decision Underscores Need for Involvement of Counsel in Internal Investigations

A recent federal court decision raises concerns about the ability of companies to maintain privilege over materials generated in connection with internal investigations. The case, United States ex rel. Barko v. Halliburton...more

4/29/2014 - Corporate Counsel Halliburton Internal Investigations Investigations Qui Tam

U.S. Supreme Court: Silence Admissible

When faced with questions from a government investigator, a person’s silence can now be used in a criminal trial against the person who was questioned and declined to provide an answer....more

7/22/2013 - Admissibility Criminal Prosecution Evidence Jury Trial SCOTUS

Appeals Court Restricts Dodd-Frank Whistleblower Protections

In the first opinion on the subject by an appellate court, the U.S. Court of Appeals for the Fifth Circuit ruled in Asadi v. G.E. Energy (USA), LLC, No. 12-20522 (5th Cir. July 17, 2013), that Dodd-Frank’s protections against...more

7/19/2013 - Dodd-Frank Retaliation SEC Whistleblower Protection Policies Whistleblowers

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