Willful Misconduct

News & Analysis as of

Chris Lazarini Comments on Application of Manifest Disregard of the Law

Bass, Berry & Sims attorney Chris Lazarini commented on a case in which a former trader fraudulently purchased $1 billion in Apple shares that ultimately forced the closure of the trader's firm, Rochdale Securities. Rochdale...more

FDA Launches Form for Reporting Allegations of Misconduct by Device Manufacturers

Program Has Broad Reach - On October 21, 2016, the Food and Drug Administration launched a webpage that contains an Allegations of Regulatory Misconduct Form to enable whistleblowers, competitors, and others to report...more

Taking prior disciplinary warnings into account

The extent to which an employer can take prior warnings issued to employees into account can be confusing. The recent case of Trye v. UKME (UK Mission Enterprise Ltd) UKEAT 0066_16 is a helpful reminder of the Tribunal's...more

Piracy Pays (The IP Owner) – Judge Whyte Grants Motion for Default Judgment After Awarding Sanctions in Unauthorized Software...

Order Granting Motion for Default Judgment, Adobe Systems Inc. v. Software Tech, et al., Case No. 5:14-cv-02140-RMW (Judge Ronald M. Whyte) - Everyone in the software field (and probably every computer user) is familiar...more

Ninth Circuit Permits SEC to Assert Standalone Claim for False Sarbanes-Oxley Certification and Confirms Disgorgement Remedy...

In Securities & Exchange Commission v. Jensen, No. 14-55221, 2016 WL 4537377 (9th Cir. Aug. 31, 2016), the United States Court of Appeals for the Ninth Circuit broke new ground by providing the Securities & Exchange...more

Shanghai Salary Payment Regulations Now More Flexible for Employers

Effective August 1, the rules around salary payment practices are now more practical for employers in Shanghai, thanks to an update to the Municipal Enterprises Salary Payment Regulation (“Updated Regulation”). An employer in...more

Can you dismiss an employee if they have allegedly committed a criminal offence?

An American football team, the San Francisco 49ers, has dismissed its player Bruce Miller following his arrest on suspicion of assault after an altercation about a hotel room. Although both an American and sports related...more

What did Ryan Lochte do? 8 tips for waterproof investigations

Despite the conclusion of the 2016 Summer Olympics, Ryan Lochte is still “under water” with questions still looming after Rio police reports that the American gold-medal Olympian fabricated a story about being robbed at...more

Terminating employees due to internal investigations in Germany

When it comes to internal investigations, multinational companies need to reconcile the sometimes conflicting legal requirements of various jurisdictions. Under German law, conflicts typically arise where a foreign law...more

Thinking Like a Prosecutor – Yates and Internal Investigations

I respect prosecutors, most of them at least. I had the fortunate opportunity to work with a number of terrific prosecutors. Most are intelligent, hard working and committed to doing the right thing. I recognize that there...more

#Fired: Post a Tweet, Lose Your Job

Many people enjoy spouting off what they view as 140-character tidbits of wisdom on the social media platform Twitter. But recently several individuals have found themselves in trouble with their employers (read: former...more

Recognizing Signs of Elder Abuse (and Traits of Elder Abusers)

My goal in this blog post is to discuss character traits of elder abusers so that you can recognize them and hopefully protect yourself, your family, and your friends. I’ve handled over 100 estate disputes, and in a sizeable...more

Luxembourg Supreme Court extends banks’ duty to individual guarantors

The Luxembourg Supreme Court has ruled on a bank’s obligations when taking a personal guarantee (cautionnement) from an individual to secure a loan of a third-party debtor. The ruling follows the current trend for a clear...more

Is Age A Defense to Failure to File Returns?

Two recent cases illustrate why age alone is no defense to failure to file returns criminal and civil penalties. The first case is a Tax Court Case in which the taxpayer was assessed late filing and late payment penalties. ...more

10th Circuit Reverses Punitive Damages Against Property Owner Based on Use of “Reputable” Contractor

As we reported earlier this month, courts sometimes disregard the general rule of non-liability for the conduct of independent contractors, and allow liability to be imposed against principals — including for punitive damages...more

Don’t Let The I.R.S. Define Your Conduct As Willful, or Else………

Something that most of us don’t realize is that Internal Revenue Service has stated that the taxpayer is responsible to learn IRS requirements within the historic U.S. framework of a voluntary reporting system. The IRS...more

NLRB Slams Hospital for Maintaining Work Rules Prohibiting Employees From Engaging in "Improper Conduct"

Over the past several years, employers have been bombarded with news about the National Labor Relations Board (NLRB) and its ever expanding control over employers’ internal workplace policies. In fact, just a few years ago,...more

Up Close and Personal: Individual CCO Liability – Part I

A horse is a horse, of course, of course, and no one can talk to a horse, of course. That is, of course, unless the horse is the famous Mister Ed. Those lines were the opening verse to the theme song of the TV...more

UK Senior Manager Misconduct Provisions Come Into Force

Two pieces of secondary legislation brought the revised provisions published on May 5th in the Bank of England and Financial Services Act 2016 on senior manager misconduct into force. The revised provisions replace the...more

Second Circuit: Intent to Harm Is Not Required for Criminal Conviction Under Investment Advisers Act

On May 4, 2016, the U.S. Court of Appeals for the Second Circuit affirmed the fraud conviction of a registered investment adviser and held that proof of intent to harm is not an element of a criminal conviction under section...more

"New HHS OIG Criteria to Guide Resolution of Health Care Investigations"

The Office of Inspector General of the Department of Health and Human Services (OIG) has issued updated guidance on the use of its so-called permissive exclusion authority under Section 1128(b)(7) of the Social Security Act...more

Tenth Circuit Reduces Punitive Award By More Than Ninety Percent In Carbon Monoxide Case

Lately, we have had many occasions to criticize courts’ analysis of punitive damages issues, so it is nice for a change to be able to report on the Tenth Circuit’s insightful decision in Lompe v. Sunridge Partners. Readers...more

Record Fine, Possible “Death Sentence” for Alleged Lifeline Violations Proposed by FCC

On April 7, the FCC issued a Notice of Apparent Liability (“NAL”) against a wireless Lifeline provider, Total Call Mobile, Inc. (“Total Call”). An investigation conducted by the Universal Service Administrative Company...more

When Offshore Asset Protection Fails

What happens when The IRS attacks your offshore asset protection plan? The simple answer is you may face a variety of civil and criminal investigations and penalties. What constitutes an offshore asset protection plan?...more

Attorneys’ Fee Award Cannot Be Enhanced to Deter Misconduct (Lumen View Technology, LLC v. Findthebest.com, Inc.)

Addressing whether deterrence can play a role in an attorneys’ fee award under § 285, the U.S. Court of Appeals for the Federal Circuit held that once a case is deemed exceptional, § 285 only authorizes an award of reasonable...more

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