News & Analysis as of

Victory or Death: William Barret Travis and the Obligations of a CCO

Today in 1836, Alamo commander William Barret Travis issued his famous ‘Victory or Death’ plea for reinforcements. It was short so I quote it in full: To the People of Texas & All Americans in the World...more

2015 Trends: #8 Top Whistleblowing Priorities for Compliance Professionals

Last November, the U.S. Securities and Exchange Commission issued its Annual Report to Congress on the Dodd-Frank Whistleblower Program. It is clear that the program is going strong. Following are five key ways compliance...more

NAVEX Global’s Most Popular Ethics & Compliance Matters Articles from 2014

This year, we relaunched our blog with the goal of better serving the ethics and compliance community, providing deeper insights on topics that matter most to E&C professionals, as well as best practices and practical steps...more

How Should Employers Draft Severance Agreements Post-CVS?

Last month, a federal judge in Illinois dismissed a lawsuit brought by the Equal Employment Opportunity Commission contending that a standard release agreement used by the CVS drugstore chain violated the anti-retaliation...more

The Chicken Or The Egg?

You finally decided to take the long overdue disciplinary action. Jack has got to be disciplined. But just before you do, Jack, possibly sensing what’s about to happen, makes a complaint of harassment. This is the first...more

A Review of Recent Whistleblower Developments

On July 31, 2014, the SEC awarded $400,000 to a whistleblower who had reported internally before providing information to the SEC. The award was unique because the SEC’s Claims Review Staff had denied the whistleblower’s...more

Social Media Policies in the Workplace

Social media usage is now ubiquitous: - Facebook users spend more than 10.5 billion minutes per day on the website. - LinkedIn has more than 277 million members in over 200 countries and territories. - Twitter...more

5 Key Employment Law Challenges for In-House Counsel

5 employment law challenges that in-house counsel will face in the coming year and how to get out ahead of them....more

SEC's Enforcement Action Against Hedge Fund Adviser for Retaliation Against a Whistleblower Highlights Challenges Employers Face

After repeated warnings over the last few years that it had both the authority and willingness to do so, on June 16, 2014, the SEC brought its first enforcement action for retaliation against a whistleblower under the...more

Don’t Ask a Whistleblower to Investigate the Conduct Reported to the SEC

The SEC recently charged a hedge fund advisory firm, which we refer to as the employer, for the first time using its new authority to bring anti-retaliation enforcement actions. The head trader for the employer reported to...more

For Wall Street Fraudsters, Business As Usual

John F. Kennedy once quoted Dante: “The hottest places in hell are reserved for those who, in times of great moral crisis, maintain their neutrality.” Unfortunately, on Wall Street, maintaining neutrality — or feigned...more

EEOC Roundup

Employment is heavily regulated in the U.S., where it is illegal to discriminate against a job applicant or an employee because of the person's race, color, religion, sex (including pregnancy), national origin, age (40 or...more

OSHA Issues New Guidance for Consumer Credit Whistleblowers

On April 3, 2014, the United States Occupational Safety and Health Administration (“OSHA”) issued an interim final rule that establishes procedures and time frames for handling retaliation complaints under the Consumer...more

Making the Most of Compliance and Ethics Week

This week, ethics and compliance departments at organizations across the country will celebrate Corporate Ethics and Compliance Week, an opportunity to highlight the essential connection between business integrity and ethics....more

Annapolis Internal Medicine to Pay $22,500 to Settle EEOC Pregnancy Discrimination and Retaliation Suit

Medical Practice Fired Receptionist Who Complained About Pregnancy Discrimination, Federal Agency Charged - BALTIMORE - Annapolis Internal Medicine, a large Annapolis-based internal medicine practice, will pay $22,500...more

Federal Contracts: President Obama’s Executive Action Regarding Equal Pay

On Tuesday, April 8, 2014, President Obama took two executive actions, designed (in the White House’s words) “to help combat pay discrimination and strengthen enforcement of equal pay laws.” The “Fact Sheet” on the White...more

Code of Conduct, Training & Policies: Three Keys to Building a Culture That Values Ethics & Prevents Retaliation

We all know we’re supposed to have an ethical culture, just like we all know we’re not supposed to follow the dress code and we’re supposed to turn in our expense reports on time. But in the crazy, hectic, fast-paced way of...more

Startling ERC Survey Findings on Misconduct, Retaliation – Is Your Corporate Ethics Training Working?

Last spring I was speaking with several of our clients at an event in Atlanta and the discussion was around ethics and compliance program effectiveness. Specifically, these clients were saying that more and more often they...more

Reading between the Headlines: A Lesson in Risk Mitigation from Edward Snowden

Whistleblowing has become a highly charged term, stirring up emotive rhetoric ranging from “ethical hero” to “treasonous traitor” with very little substantive evaluation of the real impact on the corporation and the broader...more

2014 Labor And Employment Law Checklist

Each year, LP’s Labor & Employment Practice Group is pleased to provide a short checklist of steps that all companies should consider taking to measure their readiness for the coming year. We hope that you find this 2014...more

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

New Protections for Whistleblowers and Suspected Undocumented Workers Take Effect January 14, 2014

The California Legislature had a busy year in 2013 and produced a great deal of employment-related legislation which just took effect on January 1. Because retaliation claims against employers have been on the rise for...more

2014 Trends: #3 Whistleblowing and Retaliation: Both on the Rise

A continuation of our recent coverage on ethics and compliance trends to watch in 2014, we’re taking a deeper look at whistleblowing and retaliation trends today. ...more

Take 5 Newsletter: Five Hot Topics for Financial Services Industry Employers

The economy may be improving, but challenges remain for employers in the financial services industry. From ever-increasing whistleblower claims to new diversity and inclusion regulations and recent IRS determinations...more

Trends In N.J. Whistleblowing And Retaliation Law – 2013 Roundup

2013 was a busy year for whistleblowing and retaliation law in New Jersey. This blog post summarizes noteworthy statutory and judicial developments for employers to consider in the new year....more

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