Thomson Reuters Session 2: Investment Management, Hedge Funds and Registered Mutual Funds: What's Happening Now?
A Price Worth Paying?
SEC Whistleblower Program: What Employers Need to Know
Is Edward Snowden a Whistleblower?
First SEC whistleblower award-6 lessons learned
Whistleblower Tax Suits on the Rise
We recently released our 2014 Global Ethics Benchmarking Report, an annual report that contains a thorough analysis of the previous five years of whistleblower hotline reporting data, that gives the market insight into...more
This week, the U.S. Court of Appeals for the Sixth Circuit ruled that a job applicant lacks standing to bring whistle-blower claims under the Energy Reorganization Act and the False Claims Act (“FCA”) because those laws’...more
Job applicants lack standing to bring whistleblower retaliation claims under the False Claims Act (FCA) and the Energy Reorganization Act (ERA) because they are not “employees,” according to the Sixth Circuit Court of...more
Why it matters -
In a new regulatory notice, the Financial Industry Regulatory Authority (FINRA) reminded regulated firms not to prohibit the exercise of whistleblower rights in settlement agreements with employees and...more
The U.S. District Court for the Eastern District of Wisconsin in Verfuerth v. Orion Energy Systems, Inc., No. 14-cv-352 (E.D. Wis. Nov. 4, 2014) recently ruled that the Dodd-Frank whistleblower protection provision does not...more
You’re a subcontractor with employees at your customer’s worksite. The customer orders you to remove an employee from the project. In fact, the customer emails you that the employee’s repeated safety complaints are killing...more
The United States Securities and Exchange Commission’s Office of the Whistleblower has only been open since August 2011, yet it has already made a pretty big name for itself in protecting the rights of whistleblowers and...more
Harassment and violence in the workplace -
It affects all industries and occupations. From customers, clients, patients, students, and Members of Parliament.
With the abuse scandal taking over the headlines...more
According to an academic study published on October 6, 2014 by Andrew C. Hall, Gerald S. Martin, Nathan Y. Sharp, and Jaron H. Wilde, the presence of whistleblowers may have a meaningful impact on the outcomes of enforcement...more
In a case of first impression within the Ninth Circuit, the U.S. District Court for the Northern District of California ruled that the whistleblower protection provision in Dodd-Frank protects whistleblowers who report...more
While there are more laws in place than ever before regarding the fair treatment and protection of whistleblowers in the United States, there are still some government agencies that are falling short of complying with the...more
The ARB recently clarified the competing burdens of proof on issues of causation for whistleblower retaliation cases arising under SOX Section 806 and other whistleblower protection statutes. In particular, in Fordham v....more
And for that, I'm applauding Tesco for doing the right thing -
About a month ago, we blogged about how a whistleblower at Tesco came forward to raise concerns over flawed accounting.
It seemed that Tesco had...more
The False Claims Act, 31 U.S.C. §§ 3729-3733, enables whistleblowers—also known as qui tam relators— to file fraud suits on behalf of the United States against private government contractors. With the assistance of qui tam...more
Long awaited in Sarbanes-Oxley Act (SOX) whistleblower circles, on October 9, 2014 the U. S. Department of Labor's Administrative Review Board (ARB) issued a split 2-1 panel decision in Fordham v. Fannie Mae, ARB No. 12-061,...more
On October 20, the United States District Court for the Southern District of Ohio found that the False Claims Act (“FCA”) did not protect an employee who was fired after revealing his history as a whistleblower and offering...more
The UK Whistleblowing Report - not quite a passing grade -
According to Public Concern at Work, the whistleblowing charity, 2013 was the year of the whistleblower in the UK. Stories of whistleblowers have been, and...more
Since 2004, FINRA has required its member firms to include in settlement-agreement confidentiality clauses an exception expressly allowing a customer to respond to regulatory inquiries. See Notice to Members 04-44. FINRA...more
The United States Supreme Court recently ruled in the case of Lawson v. FMR, LLC that people employed by a private company that is either a contractor or subcontractor or a public company are to be extended the same...more
"... even popular social media platforms, but, sh, don't tell" -
Kind of like confessions in a personal diary, Whisper is an app that lets users anonymously share their secrets with millions of others in acts of...more
Under the whistleblower provisions of the Occupational Health and Safety Administration (OSHA), employees typically only have 30 days to file a complaint about employer retaliation. However, OSHA has now reached an agreement...more
According to Law360, the director of the SEC’s whistleblower office, Sean McKessy, is exhorting the staff of that office to set a high priority on cases involving employer retaliation for whistleblower complaints. During an...more
As reported this week by Law360 (subscription required), the Financial Industry Regulatory Authority (FINRA) recently issued a reminder (Regulatory Notice 14-40) warning firms against the use of confidentiality provisions in...more
(Got your attention?) Yep, you read that right... beer -
One often thinks of bribery and corruption happening in major, high profile organizations (Enron, WorldCom, Tyco). Those are certainly the first I think of...more
FINRA has published a regulatory notice where it reminds firms that it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) to include confidentiality provisions in settlement agreements...more
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