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Category Archives: Corporate Whistleblowers

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April 2015 Whistleblower Awards List

Posted in Claim SEC Award
The SEC Office of the Whistleblower post Notices of Covered Action where a final judgment or order, by itself or together with other prior judgments or orders in the same action issued after July 21, 2010, results in monetary sanctions exceeding $1 million. Subject to the Final Rules, individuals who voluntarily provided the Commission with original information after July 21, 2010 that led… Continue Reading

Whistleblower Received $600,000 from SEC

Posted in Corporate Whistleblowers
whistleblower retaliationOn April 28, 2015, the Securities and Exchange Commission announced an award to a whistleblower of $600,000. The whistleblower was given the award for providing key original information that led to a successful enforcement action in connection with In the Matter of Paradigm Capital Management, Inc. and Candace King Weir, File No. 3-15930 (June 16, 2014). The whistleblower in this… Continue Reading

SEC Chair Praises Agency’s Whistleblower Program

Posted in Corporate Whistleblowers
SEC Chair Mary Jo WhiteChicago, IL.  April 30, 2015.  Today SEC Chair Mary Jo White gave a major public presentation endorsing the SEC whistleblower program and explaining how whistleblowers now play a central role in protecting U.S. financial markets. Stephen M. Kohn, executive director of the National Whistleblower Center, made the following statement in regard to Ms. White’s remarks: “Chair White’s endorsement of the… Continue Reading

March 2015 SEC Whistleblower Awards List

Posted in Claim SEC Award
whistleblower retaliationThe SEC Office of the Whistleblower post Notices of Covered Action where a final judgment or order, by itself or together with other prior judgments or orders in the same action issued after July 21, 2010, results in monetary sanctions exceeding $1 million.Subject to the Final Rules, individuals who voluntarily provided the Commission with original information after July 21, 2010 that led to… Continue Reading

3 Nails in the Coffin of ‘Compliance 1.0′

Posted in Corporate Whistleblowers
2014 was a milestone year for the compliance and ethics fieldOriginally published at Corporate Counsel on March 17, 2015. The bulk of 2014 was a milestone year for the compliance and ethics field, marking the demise of the failed “Compliance 1.0” model (compliance as a captive arm of the legal function) and the rise of “Compliance 2.0” (compliance freed from the legal department and positioned for success). Some big developments—such… Continue Reading

NWC’s Stephen Kohn Honored on Most Influential in Business Ethics List

Posted in Corporate Whistleblowers
Ethics100National Whistleblower Center Executive Director Stephen M. Kohn was named to Ethisphere Magazines 100 Most Influential in Business Ethics in its 2014 third quarter issue. Each year, Ethisphere recognizes 100 individuals that have made a material impact in the world of business ethics and compliance through the annual 100 Most Influential People in Business Ethics list.  Kohn came in at #… Continue Reading

State Supreme Court Holds Arguments In UBS Whistleblower Case

Posted in Corporate Whistleblowers
The Hartford Courant reports that the Connecticut state Supreme Court heard arguments on March 24, in a whistleblower case brought by a fired UBS worker.  The issue in dispute is whether an employer can discipline its employees for making internal reports about corporate wrongdoing. According to the report, UBS lawyers argued that employers should be able to fire employees who make internal… Continue Reading

SEC Sanctions KBR for Illegal Non-Disclosure Agreement

Posted in Corporate Whistleblowers, False Claims / Qui Tam
KBRSEC Investigation into overly restrictive non-disclosure agreements was triggered by complaint filed by former KBR Contractor Harry Barko Washington, D.C. , 2015.  April 1, 2015.  Today the U.S. Securities and Exchange Commission sanctioned defense contractor KBR for requiring its employees to sign restrictive non-disclosure agreements that prohibited employees from properly reporting fraud and misconduct to appropriate regulatory authorities.  A copy… Continue Reading

February 2015 SEC Whistleblower Awards List

Posted in Claim SEC Award, Corporate Whistleblowers
The SEC Office of the Whistleblower post Notices of Covered Action where a final judgment or order, by itself or together with other prior judgments or orders in the same action issued after July 21, 2010, results in monetary sanctions exceeding $1 million.Subject to the Final Rules, individuals who voluntarily provided the Commission with original information after July 21, 2010 that led to… Continue Reading

January 2015 SEC Whistleblower Awards List

Posted in Claim SEC Award
The SEC Office of the Whistleblower post Notices of Covered Action where a final judgment or order, by itself or together with other prior judgments or orders in the same action issued after July 21, 2010, results in monetary sanctions exceeding $1 million.Subject to the Final Rules, individuals who voluntarily provided the Commission with original information after July 21, 2010 that led to… Continue Reading

The FCA Strongly Encourages Businesses to Maintain Effective Internal Compliance Programs

Posted in Corporate Whistleblowers, False Claims / Qui Tam
ComplianceProgramThe Chamber of Commerce has commenced a well-financed and aggressive lobbying campaign to undermine America’s most effective whistleblower law, the False Claims Act. To justify its anti-whistleblower campaign the Chamber published a report entitled, “Fixing the False Claims Act: the Case For Compliance-Focused Reforms.” The purpose of this blog series is to combat the Chamber’s misinformation, and explain why the… Continue Reading

OSC Proposed Rule For Federal Contractor Employees May Cause Confusion

Posted in Corporate Whistleblowers, Government Whistleblowers, National Security
Office of Special CounselWashington, D.C. January 22, 2015. Today the U.S. Office of Special Counsel (OSC) proposed a rule that it claims would extend protections under the Civil Service Reform Act and the Whistleblower Protection Act to employees of Federal contractors.  However, the unintended consequences of OSC’s proposed rule may cause more harm than good for employees of federal contractors. This rule may… Continue Reading

NWC Issues Statement On Canada’s Offshore Tax Informant Program

Posted in Corporate Whistleblowers, Tax Whistleblowers
Canadian-Maple-Leaf-FlagWashington, D.C. January 21, 2015. The National Whistleblower Center issued a statement today highly critical of the Canadian Offshore Tax Informant Program. “Unfortunately it is likely to fail,” stated Stephen M. Kohn, the executive director of the National Whistleblower Center. National Whistleblower Center’s Statement on Canada’s Offshore Tax Informant Program: … Continue Reading

False Claims Act Used to Enforce Environmental Safety Standards

Posted in Corporate Whistleblowers, False Claims / Qui Tam
dupontThis past Friday the Houston Chronicle published an important article regarding allegations that DuPont let poisonous gas leak continuously from a plant near New Orleans for three years. The article, “Whistleblower case raises more safety concerns about DuPont,” details a novel approach to enforce environmental standards using the False Claims Act (FCA). The plaintiff in U.S. ex rel Simoneaux v. E.I.… Continue Reading

Department of Labor to Hold Oral Arguments on Key Corporate Whistleblower Case

Posted in Corporate Whistleblowers, Department of Labor, News
E._Barrett_Prettyman_Federal_Courthouse,_DCThe Department’s Top Judges will Decide the “Burden of Proof” Whistleblower Must Meet to Prevail in Sarbanes-Oxley and Dodd-Frank Whistleblower Cases The Department of Labor Administrative Review Board (ARB) will hold oral arguments in the case of Powers v. Union Pacific Railroad Company, ARB Case No. 13-034 on Wednesday, January 14 at 2pm.  This case will decide the burden of… Continue Reading

December 2014 SEC Whistleblower Award List

Posted in Claim SEC Award
The SEC Office of the Whistleblower post Notices of Covered Action where a final judgment or order, by itself or together with other prior judgments or orders in the same action issued after July 21, 2010, results in monetary sanctions exceeding $1 million.Subject to the Final Rules, individuals who voluntarily provided the Commission with original information after July 21, 2010 that led to… Continue Reading

GM’s DIY Compliance: #WhatCouldPossiblyGoWrong?

Posted in Corporate Whistleblowers
Photo: BriYYZ, via Wikimedia CommonsOriginally published at Corporate Counsel on October 16, 2014. What would it look like if the human resources team woke up one day and suddenly decided it was going to take over the job of the internal audit function? Would managers somehow be asked to incorporate audit activities into their performance reviews? Would audit become 90 percent training? And more importantly, would… Continue Reading

NWC Joins Amicus in SOX Whistleblower Retaliation Case

Posted in Corporate Whistleblowers
Yesterday, the National Whistleblower Center joined other groups in filing an amici curiae brief with the Department of Labor Administrative Review Board (ARB) in Powers v. Union Pacific Railroad Company, ARB Case No. 13-034.  Joining the NWC as amici are the National Employment Lawyers Association, the Truckers Justice Center and Teamsters for a Democratic Union. The ARB called for amici… Continue Reading

Foreign Nationals File Whistleblower Rewards Claims in United States

Posted in Claim SEC Award, Corporate Whistleblowers, International
Major Breakthrough in Worldwide Protection for Whistleblowers Washington, D.C. December 9, 2014.  Today, as part of the U.N. sponsored International Anti-Corruption Day, the National Whistleblower Center issued a report, The Importance of Whistleblower Rewards in Combating International Corruption, endorsing whistleblower reward laws.  The Center is calling on government’s around the world to enact whistleblower laws and to model these laws on… Continue Reading

NYT: Tattletales Embraced as Whistle-Blower Programs Gain Support

Posted in Corporate Whistleblowers, Tax Whistleblowers
Yesterday The New York Times ran a nice article on the growing support for whistleblower programs as a means to ensure corporate accountability.  Below is an excerpt and a link: “The embrace of whistle-blowers is not limited to false claims. The I.R.S. has ramped up its program on tax cheats, and awarded one of the biggest whistle-blower payouts of $104… Continue Reading

November 2014 SEC Whistleblower Award List

Posted in Claim SEC Award, News
The SEC Office of the Whistleblower post Notices of Covered Action where a final judgment or order, by itself or together with other prior judgments or orders in the same action issued after July 21, 2010, results in monetary sanctions exceeding $1 million.Subject to the Final Rules, individuals who voluntarily provided the Commission with original information after July 21, 2010 that led to… Continue Reading

SEC Whistleblower program has historic year

Posted in Corporate Whistleblowers
On November 17, 2014, the U.S. Securities and Exchange Commission’s Office of the Whistleblower released its 2014 Annual Report to Congress. According to the report, 2014 was a historic year for the SEC Whistleblower program in terms of both the number and dollar amount of whistleblower awards. The SEC issued whistleblower awards to more individuals in 2014 than in all… Continue Reading

Recent SEC Whistleblower Awards

Posted in Corporate Whistleblowers
Compliance Professional Awarded $300,000 by SEC Whistleblower Came to SEC After Reporting Fraud Internally and Company Failed to Take Action On August 29, 2014, The Securities and Exchange Commission announced a whistleblower award of more than $300,000 to a company employee who performed audit and compliance functions and reported wrongdoing to the SEC after the company failed to take action… Continue Reading