Second Circuit Splits from Fifth Circuit on Whistleblower SEC Reporting Obligations
On September 10, 2015, the Second Circuit in Berman v. Neo@Ogilvy LLC, 2015 U.S. App. LEXIS 16071 (2d Cir. 2015), ruled that...more
10/5/2015
/ Anti-Retaliation Provisions ,
Barnes and Noble ,
Confidentiality Agreements ,
Corporate Counsel ,
Dodd-Frank ,
Enforcement Actions ,
Fraud ,
Internal Reporting ,
Interpretive Rule ,
OSHA ,
Protected Activity ,
Reversal ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Termination ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
SEC Awards Another Whistleblowing Compliance Officer -
On April 22, 2015, the Securities and Exchange Commission (SEC) announced an award between $1.4 and $1.6 million to a compliance officer who provided information...more
7/8/2015
/ Attorney-Client Privilege ,
Certificates of Compliance ,
Chief Compliance Officers ,
Compliance ,
Confidentiality Agreements ,
Enforcement Actions ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Internal Investigations ,
IRS ,
Retaliation ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Tax Court ,
Upjohn Warnings ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers ,
Wrongful Termination
After repeated public statements warning companies that might seek to stifle whistleblowers, the U.S. Securities and Exchange Commission (SEC) has brought its first enforcement action relating to language in confidentiality...more
The U.S. government has changed up its approach to criminal health care fraud prosecutions, joining forces with fiscal intermediaries on the civil side to ramp up investigations, and this new tactic has proven to be a cash...more
The December 23, 2014, announcement by the U.S. Department of Justice (DOJ) that Alstom, S.A., a French power and transportation company, pled guilty to two Foreign Corrupt Practices Act (FCPA) charges and agreed to pay $772...more
12/30/2014
/ Accounting Controls ,
Alstom ,
Bribery ,
C-Suite Executives ,
Corporate Counsel ,
Corporate Criminal Fines ,
Criminal Prosecution ,
Deferred Prosecution Agreements ,
Department of Justice (DOJ) ,
Enforcement Actions ,
Foreign Corrupt Practices Act (FCPA) ,
Indictments ,
Subsidiaries