Category: Attorney Ethics

In-House Counsel as Whistleblowers Under the Dodd-Frank Act

I recently posted a blog regarding my article on in-house counsel as whistleblowers, which is available here. This post is a deeper dive into the Dodd-Frank Act’s protections for attorney whistleblowers and eligibility for bounties under the Act. The Dodd-Frank Act contains anti-retaliation provisions that may relate to in-house counsel as whistleblowers. In particular, the…




In-House Counsel as Whistleblowers Under the Sarbanes-Oxley Act

I recently published a post on in-house counsel who turn whistleblower, which is available here. This post is a deeper dive into SOX retaliation claims on behalf of in-house counsel. SOX specifically contemplates protection of attorney whistleblowers. Generally, Section 806 of SOX prohibits a publicly traded company, or any contractor or agent of such company,…




In-House Counsel as Relators in False Claims Act Qui Tam Lawsuits

I recently published a post for my article on in-house counsel whistleblowers here, and this is a deeper dive into the False Claims Act issues that attorney-whistleblowers may face. Generally, an in-house attorney may be a relator in a Qui Tam action against their employer only if the ethical rules applicable to that attorney would permit…




Article on In-House Attorney Whistleblowers

The recent $10 million jury award to a general counsel turned whistleblower in Wadler v. Bio-Rad Laboratories, Inc., Case No. 15-cv-02356 (N.D. Cal. Dec. 20, 2016), which I will address in a deeper dive in a few days, highlights the complexities of whistleblower claims by in-house counsel. I recently published an article on the very issue…




The Adventures of Dickie Scruggs: How the FCA’s Seal Requirement Became Less Scary

Yesterday, December 6, 2016, the U.S. Supreme Court issued its opinion in State Farm Fire & Casualty Co. v. U.S. ex rel. Rigsby et al., 580 US __ (2016), available here. The primary issue in that case was whether a violation of the False Claims Act’s (FCA) seal requirement mandated dismissal of the relator’s Qui…




New York Attorneys May be Precluded from Submitting Information Under Dodd-Frank’s Whistleblower Bounty Provision

The Dodd-Frank Act contains a “bounty” provision intended to incentivize whistleblowers to disclosure information to the SEC regarding violations of U.S. securities and trading statutes and other statutes administered by the SEC.  It is now questionable whether New York attorneys, whether in-house or outside, can qualify for such awards if they disclose the confidential information…