Internal Investigations

News & Analysis as of

3rd Circuit Affirms Dismissal in Long-Running Weist SOX Whistleblower Case

On February 2, 2016, the Third Circuit affirmed the dismissal of the SOX whistleblower retaliation claim in the closely watched case of Weist v. Tyco Electronics Corp., No. 15-2034. We have posted on key events during the...more

The National Labor Relations Board 2015 Year in Review - An Overview of Major Developments in Labor Law

To mark the 80th birthday of the National Labor Relations Act, the National Labor Relations Board apparently decided to make history in 2015. The Board did just that, issuing several ground breaking decisions, and in the...more

Rubik’s Cube and the Intersections of Compliance

It is generally believed that the world’s single best selling toy is the Rubik’s Cube, invented in 1974 by the Hungarian Erno Rubik. Although it was initially believed that Rubik’s Cube was built as a teaching tool to help...more

Keep This Between Us—and the Government: Confidentiality of Witness Interviews in Corporate Internal Investigations

Internal investigations into suspected employee wrongdoing are particularly tricky for in-house counsel, who must protect corporate confidentiality, be mindful of regulatory reporting requirements, and respect labor...more

Focusing on Internal Investigations

A speak up culture is an important component of a company’s commitment to organizational justice. All of the pieces of an internal justice system have to fit together and are interdependent. When one part does not work, the...more

SEC Gives First Whistleblower Award to a Company Outsider: The SEC has increased the scope of its whistleblower award program in...

What you need to know: The SEC recently awarded $700,000 to an outside industry expert whose “detailed analysis” of a company’s alleged misconduct helped the SEC bring a successful enforcement action. Although the...more

Managing FMLA Fraud: Investigate, Don’t Assume

Continuing our three-part series on managing FMLA fraud, this post addresses the importance of conducting a reasonable investigation, prior to taking adverse action, to develop a supportable “honest belief” of FMLA...more

New Year’s Resolution: Internal Investigation Tips For Retail Employers

The first time you learn of an employee’s complaint probably isn’t the day your company is served with a lawsuit. In most cases, the alleged victim complains to the company first. While an initial internal complaint provides...more

The Year 2016 in Compliance

Greetings from Venice where my wife and I are spending the next few days so this blog post is my first Travel Edition of 2016. Last week I wrote about my thoughts on some of the significant Foreign Corrupt Practices Act...more

Tribute to Bob Fox-The Fair Process Doctrine in Compliance

Today’s is a personal blog post. My father, Dr. Milden Jean Fox, Jr. “Bob” passed away last week. He was born in 1926 and was part of what we rightfully call the “Greatest Generation”. We call them this for a whole host of...more

Understanding When An Overpayment Can Result in False Claims Liability and Why Current Court Precedent and Regulatory Guidance Is...

An issue every health care entity that submits claims to the government must frequently confront is when and how to disclose an overpayment to the government. This issue arises when, for example, an employee expresses concern...more

“Round Up the Usual Suspects” and Violate the NLRA? The Implications of Extending Weingarten Rights to Nonunionized Workplaces

In a unionized workforce, an employer generally may not proceed with an investigatory interview if the employee under investigation demands representation by a union official. This so-called Weingarten right does not...more

Want to keep your internal investigations confidential? There may yet be hope.

In a recent blog post, we discussed the heavy restrictions the National Labor Relations Board (the “NLRB” or the “Board”) has placed on company policies that direct employees who participate in internal investigations to...more

Conducting Internal I-9 Audits – ICE and DOJ-OSC Provide Joint Guidance

A company’s I-9 file, which often goes unnoticed by all but a few HR professionals, can carry significant risk. Form I-9 files often serve as landmines for fines, penalties, and sanctions. Companies can mitigate these risks...more

Organizational Justice: The Importance of Transparency

You know a company’s culture is suffering when you hear the CEO or senior executives say the best way to develop a “Speak Up” culture is to just tell all the employees “we want to hear from you.” I am an advocate for...more

Creating an Ombudsman’s Office

If your company is big enough and has the resources to consider establishing an internal ombudsman’s function, consider yourself lucky. When compliance professionals and lawyers use the term “ombudsman,” it is important to...more

Defining Compliance 2.0: Key Compliance Partners (Part 5 of 5)

I always use the “Streetcar Named Desire” line to describe the challenges a  Chief Compliance Officer faces – CCOs depend on the kindness of strangers.  It is a little bit of an exaggeration but bear with me. CCOs are not...more

The FCA wades into the debate on privilege

In a speech on 5 November, the Financial Conduct Authority (“FCA”) criticized some firms for letting “legal privilege become an unnecessary barrier” in sharing the output of internal investigations with the FCA. The speech...more

Courts Reject Protection for Corporate Investigations, but Offer Helpful Guidance: Part II

Last week's Privilege Point described two cases rejecting defendant's protection claims for internal investigations. In each case, the court held that the defendant undertook its investigation in the ordinary course of its...more

The Threat From Within

Even as organizations hunker down for a long and expensive siege against attackers from cyberspace, a determined employee with the right kind of access can be as much of a threat, if not more. ...more

Recent FCA Commentary on Internal Investigations by Firms

On November 6, the UK Financial Conduct Authority (FCA) published a speech by Jamie Symington, director in enforcement (wholesale, unauthorized business and intelligence), on FCA-regulated firms’ internal investigations of...more

Courts Reject Protection for Corporate Investigations, but Offer Helpful Guidance: Part I

Companies' internal investigations can deserve (1) privilege protection, if primarily motivated by the need for legal advice; and (2) work product protection, if primarily motivated by anticipated litigation. In both...more

Think you can keep your internal investigations confidential? Think again.

Many employers have rules or policies directing employees who are involved in a workplace investigation to keep their conversations with investigators confidential and to refrain from discussing the matter with colleagues...more

D.C. Circuit Court of Appeals May Limit the Board’s Standard for Evaluating Employers’ Confidentiality Policies

In Hyundai Am. Shipping v NLRB, No. 11-1351 (Nov. 6, 2015), the D.C. Circuit Court of Appeals recently enforced a Board order with respect to a work rule that prohibited employees from discussing matters under investigation...more

Corporate and Financial Weekly Digest - Volume X, Issue 44

BROKER-DEALER - FINRA Issues Investor Alert Regarding IRS Phone Scam - The Financial Industry Regulatory Authority issued an Investor Alert warning investors about a phone scam involving phone calls allegedly...more

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