Internal Investigations

News & Analysis as of

SEC Opens up the Toolbox to File First Stand-alone Whistleblower Retaliation Case

Welcome back to Whistleblower Week here at Cady Bar the Door. It is a glorious time. Today we discuss In re International Game Technology, Inc., filed on September 29th. While it has done this before alongside other...more

Maximizing Work Product Protection After an Ordinary Course Internal Investigation Uncovers Serious Problems that Could Trigger...

The work product doctrine only protects internal corporate investigations initiated by the corporation's anticipation of litigation. Thus, the protection normally does not extend to investigations required by some external or...more

[Event] 2016 Long Term Care Legal Update: Insights and Best Practices for Risk Mitigation in Employment and Litigation Claims -...

Please join LeClairRyan at Charter Hall in Roanoke's Market Building for a complimentary midday presentation (lunch served) on strategies to combat today's legal concerns. Our attorneys will share insights to help you manage...more

Internal investigations: are employees required to cooperate?

Businesses, particularly in the financial services sector, face an ongoing need to conduct internal inquiries, either following, or in anticipation of, scrutiny from the media, regulators and, with the continued cross-bench...more

Lessons Learned from the FCPA Pilot Program's First Six Months

The guidance issued by the DOJ in connection with the Pilot Program and recent declinations state that disclosure, remediation and cooperation are essential to any favorable resolution with the government. Six months...more

Second Circuit “Purrs” On Cat’s Paw Liability Case

Seyfarth Synopsis: Recently, the Second Circuit held that the “cat’s paw” theory of liability may be used to support recovery for claims of retaliation where an employer negligently relies on information provided by a...more

Proskauer Joins Heads of SEC & OSHA Whistleblower Programs in Webinar

On September 27, 2016, Proskauer Partner Steven J. Pearlman, co-head of the Whistleblowing & Retaliation Practice Group, participated in a Bloomberg webinar with Jane Norberg, Acting Chief of the SEC Office of the...more

Match Made in Heaven: Compliance and Human Resources

The corporate compliance function is only as successful as its partnerships with key internal constituencies. Depending on the company and the personnel involved, compliance has to establish and maintain effective working...more

UK Regulator Bans former Barclays Wealth Management Chief Operating Officer

The Financial Conduct Authority published a Final Notice banning Mr. Andrew James Tinney from the UK financial services industry. Mr. Tinney was the Global Chief Operating Officer of Barclays Wealth and Investment Management,...more

SEC Files Action Against Company and its General Counsel for Loss Contingency Accrual and Disclosure Failures – What to Know

SEC’s Factual Allegations - On September 9, 2016, the Securities and Exchange Commission (“SEC”) filed a complaint against RPM International Inc. (“RPM”) and its General Counsel and Chief Compliance Officer, alleging the...more

Korea Quarterly - September 2016

Controlling Costs in International Arbitration - Arbitration is an efficient means for resolving business disputes because it offers more flexibility than court proceedings and enables the parties to choose arbitrators...more

Watch Out for the Cat’s Paw - Employers May Be Accountable for Low-Level Employee Actions

In the world of employment law, there is something called the “Cat’s Paw” theory of liability. The name comes from a fable dating back to the 17th century in which a clever monkey persuades a naïve cat to pull roasting...more

Don’t Be A Cat’s-Paw

Most sexual harassment policies include a procedure to investigate complaints, often specifying that the investigation will be timely and thorough, and may include interviews with the employees involved, witnesses, and anyone...more

Second Circuit Adopts “Cat’s Paw” Theory of Imputing Nonsupervisory Employee’s Retaliatory Intent to Employer

In Vasquez v. Empress Ambulance Service, Inc., No. 15-3239-cv (August 29, 2016), the Second Circuit Court of Appeals set new precedent when it held that an employer may be held liable for the retaliatory intent of a...more

For An Effective Ethics and Compliance Program — First, Train Your Board and Senior Executives

Compliance professionals are familiar with the phrase “tone at the top,” but what exactly does it mean? Unlike other compliance program components, it cannot be easily formalized and implemented in a policy or procedure....more

Ambulance Service Liable for Sexting Monkey?

An ambulance service may be liable for damages arising from sexting by a monkey it employed, the Second Circuit ruled on August 29. Actually, the monkey was a man, but the court sided with a female employee who sued the...more

Employees Find “Cat’s Paw” Theory to be the Cat’s Meow

Employees are continuing to find success with the “cat’s paw” theory to prove employment discrimination, evidenced by two recent federal court decisions. The “cat’s paw” theory references an old Aesop’s fable in which a...more

Updated EEOC Retaliation Guidance Suggests Scrutiny for Internal Investigation Practices

The Equal Employment Opportunity Commission takes an expansive position on protection given to persons who make internal complaints about discrimination in bad faith in updated guidance on retaliation law....more

The Cat Is Out of the Bag: Second Circuit Rules Cat’s Paw Theory Applies to Nonmanagerial Coworkers

Rarely has the maxim “hard cases make bad law” found greater application than in the Second Circuit Court of Appeals’ recent decision to expand the “cat’s paw” doctrine adopted by the Supreme Court of the United States in...more

The Panama Papers - What the Fallout Means for U.S. Companies and Professionals [Video]

White Collar Defense/Internal Investigations Partner Peter D. Hardy discusses the financial implications of the Panama Papers leak on U.S. companies and professionals, the growing perception of the United States as a tax...more

The Monkey and the Cat: Second Circuit Adopts “Cat’s Paw” Theory of Liability for the Acts of a Non-Supervisory Employee in Title...

On August 29, 2016, a unanimous panel of the United States Court of Appeals for the Second Circuit revived a retaliation lawsuit under Title VII of the Civil Rights Act of 1964 under the “cat’s paw” theory of liability. In...more

"Dispatched" Employee's Retaliation Claim Revived Where Low Level Co-Worker Provided "Doctored" Evidence

Plaintiff’s version of events - Andrea Vasquez, an emergency medical technician on an ambulance crew out on her midnight shift, received a text message from the Company dispatcher, Tyrell Gray, with the caption, "Wat u...more

Shoddy Harassment Investigation Can Still Lead to Liability, Court Rules

Imagine this scenario: You, the employer, think you’ve taken all the right steps when hearing about a harassment complaint. You encourage the employee to file a written complaint. You conduct an investigation. You take...more

HR Abdicates Control

The Second Circuit Court of Appeals recently taught employers what can happen when Human Resources abandons an investigation half-way through. In Vasquez v. Empress Ambulance Serv., Inc., No,. 15-3239-cv (2d Cir. Aug. 29,...more

Second Circuit Adopts “Cat’s Paw” Theory for Discrimination and Retaliation Cases

Are you familiar with the "Cat's Paw" theory of liability for discrimination and retaliation claims? This theory derives from a story that appeared in Aesop’s Fables and involves a cat that is manipulated by a monkey into...more

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