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SEC Brings First Whistleblower Anti-Retaliation Enforcement Action

On June 16, 2014, the U.S. Securities and Exchange Commission (SEC) resolved its first whistleblower retaliation enforcement action. The SEC’s order against Paradigm Capital Management, Inc. is the first-ever enforcement...more

8/8/2014 - Chief Compliance Officers Dodd-Frank Employer Liability Issues Enforcement Actions Investment Advisers Act of 1940 Retaliation SEC Securities Exchange Act Whistleblowers

Preserving Some “Bite”: The Fourth Circuit Approves Summary Judgment for Employer in a SOX Retaliation Case

As we have discussed in earlier posts, the recent trend in court decisions under the Sarbanes-Oxley Act (SOX) has been to lighten the burden on complainants and to expand the universe of cases that proceed to decisions on the...more

5/29/2014 - Administrative Review Board Adverse Employment Action Appeals DOL Hiring & Firing Sarbanes-Oxley Summary Judgment

Employers Defending Against SOX Whistleblower Actions Should Prepare for a Long Ride

Employers defending against Sarbanes-Oxley Act (SOX) whistleblower retaliation claims should be prepared for a long and potentially onerous litigation process, even if the claims lack merit. A recent district court decision...more

5/16/2014 - Employer Liability Issues Retaliation Sarbanes-Oxley Whistleblower Protection Policies Whistleblowers

California Expands Protections for Employee Whistleblowers

Attention all employers with employees in California: On October 12, 2013, California Governor Jerry Brown signed into law Senate Bill (SB) 496, amending the whistleblower retaliation provisions set forth in section 1102.5 of...more

3/19/2014 - Anti-Retaliation Provisions Internal Investigations Retaliation Whistleblowers

“Entirely Comfortable” With a “Monster”: A Striking Decision From an Unlikely Source About Excessive Fines Under the FCA

As we have discussed before, whistleblower and retaliation decisions—including from the Supreme Court of the United States—have created an increasingly whistleblower-friendly body of law that unifies courts across the...more

2/27/2014 - Employer Liability Issues False Claims Act Fines Retaliation SCOTUS Whistleblowers

On a “Clear and Convincing Day”: The Administrative Review Board Gives Employers Some Helpful Guidance

As we have discussed in earlier posts, the Administrative Review Board (ARB) has, over the last couple of years, issued a number of opinions signaling a decidedly employee-friendly interpretation of the whistleblower statutes...more

2/10/2014 - Administrative Review Board Clear and Convincing Evidence Compliance Dodd-Frank Evidence SEC Whistleblowers

Blowing the Whistle on the Whistleblower: When a Whistleblower Takes Confidential Documents

As you may have read in our previous blog post, prudent employers should embrace the “righteous whistleblower” in service of their culture of compliance. But what is an employer to do when a whistleblower has engaged in...more

1/24/2014 - Compliance Discovery Employer Liability Issues Ethics Retaliation Whistleblowers

OSHA Debuts Online Form For Whistleblowers To File Complaints

The process of filing whistleblower complaints just became a lot easier. On December 5, 2013, the U.S. Department of Labor’s Occupational Health and Safety Administration (OSHA) launched a new system that will allow workers...more

12/10/2013 - DOL OSHA Whistleblowers

The Investigation Is the Thing

As highlighted in our earlier blog post, a company’s response to a whistleblower complaint is the key to how the company will fare going forward....more

6/24/2013 - Investigations Retaliation Sarbanes-Oxley Whistleblower Protection Policies Whistleblowers

The Whistleblower Protection Advisory Committee Goes to Work

On January 29, 2013, the new Whistleblower Protection Advisory Committee (WPAC) held its inaugural meeting in Washington, D.C. Made up of 12 members, the WPAC includes three members representing the public, four members...more

2/5/2013 - OSHA Whistleblower Protection Policies Whistleblowers

Survey Highlights the Impact that Knowledge of Rewards Has on Willingness to Blow the Whistle

There has been much ink, real and digital, spilled on speculating about how the U.S. Securities and Exchange Commission’s (SEC) whistleblower program may affect companies’ internal compliance programs and the volume of...more

9/28/2012 - Compliance Dodd-Frank SEC Whistleblowers

Employers Should Take Note As Courts Begin to Clarify Their Approaches to Dodd-Frank Coverage Issues

Over the past two years, we have seen the approach that the Administrative Review Board (ARB) has taken with respect to the scope and coverage of Dodd-Frank In almost every instance, the ARB has expanded the scope and...more

8/15/2012 - Administrative Review Board Anti-Retaliation Provisions Dodd-Frank Sarbanes-Oxley

Taking the Whistleblower at His Word: Demonstrating a “Culture of Compliance”

Federal agencies charged with investigating whistleblower claims—and in some cases, bringing enforcement actions—are looking hard at what companies are doing to create a “culture of compliance.” Failing to cultivate a culture...more

7/30/2012 - Compliance Whistleblower Protection Policies Whistleblowers

Get it Right: Best Practices for Responding to Whistleblower Reports of Wrongdoing

The importance of prompt and effective investigations of employee reports of wrongdoing has never been higher. Dodd-Frank and its changes to Sarbanes-Oxley have yielded a large increase in the number of reports—with much...more

7/19/2012 - Dodd-Frank Retaliation Whistleblower Protection Policies Whistleblowers

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