The document discusses exceptions to confidentiality rules for attorneys under Missouri Rule 1.6 and 17 CFR 205.3(d) that allow disclosure to prevent substantial harm, comply with the law, or prevent a client from committing a crime or fraud. It also discusses protections for whistleblowers under the Whistleblower Protection Act that allow disclosure of information reasonably believed to evidence violations of law or regulation.

1. The Law of
Whistleblowing
Washington University – Fall 2014
class # 18

2. MO Rule 1.6 - exceptions
• Client’s informed consent
• Impliedly authorized
• Prevent death / substantial bodily
harm
• Secure legal advice re: rules
• Establish claim or defense / respond
to allegations
• Comply with law / court order

3. MO Rule 1.6 - exceptions
• Client’s informed consent
• Impliedly authorized
• Prevent death / substantial bodily
harm
• Secure legal advice re: rules
• Establish claim or defense / respond
to allegations
• Comply with law / court order

4. 17 CFR 205.3(d)(2)(i)
to prevent / mitigate / rectify
consequences of issuer from committing
material violation likely to cause
substantial injury to
financial interests / property of
issuer or investors
in furtherance of which
lawyer's services were used

5. 17 CFR 205.3(d)(2)(ii)
to prevent / mitigate / rectify
consequences of issuer
in SEC investigation / proceeding
from committing / suborning perjury
or filing false statement likely to
perpetrate fraud on SEC
financial interests / property of
issuer or investors

6. 17 CFR 205.3(d)(2)(iii)
to rectify
consequences of issuer’s
material violation that caused
substantial injury to
financial interests / property of
issuer or investors
in furtherance of which
lawyer's services were used

7. MR 1.6(b)(2)
to prevent client
from committing crime or fraud
reasonably certain to result in
substantial injury to financial interests
/property of another &
in furtherance of which
client has used / is using
lawyer's services

8. MR 1.6(b)(2)
to prevent client
from committing crime or fraud
reasonably certain to result in
substantial injury to financial interests
/property of another &
in furtherance of which
client has used / is using
lawyer's services

9. MR 1.6(b)(2)
to prevent client
from committing crime or fraud

10. MR 1.6(b)(3)
to prevent / mitigate / rectify
substantial injury to
financial interests / property of another
that is reasonably certain to result / has
resulted from
client's commission of crime / fraud
in furtherance of which
client has used lawyer's services

11. MR 1.6(b)(3)
to prevent / mitigate / rectify
substantial injury to
financial interests / property of another
that is reasonably certain to result / has
resulted from
client's commission of crime / fraud
in furtherance of which
client has used lawyer's services

12. MR 1.6(b)(3)
to prevent / mitigate / rectify
a crime / fraud
that client has already committed

13. A.
Demoted in-house L seeks
assistance.
What options are available?

14. B.
In a proceeding,
may L use information
learned at company
(including
communications)?

15. 17 CFR 205.3(d)(1)
L may use
any report under this §
in connection w/
any investigation / proceeding
in which
L’s compliance with this part
is in issue
financial interests / property of

16. WPA – 5 USC § 2302(b)(8)(A)
protects:
any disclosure of information . . . which
the employee . . .reasonably believes evidences
(i) any violation of any
• law,
• rule, or
• regulation, or
(ii) gross mismanagement, a gross waste of funds,
an abuse of authority, or a substantial and specific
danger to public health or safety, . . .

17. WPA – 5 USC § 2302(b)(8)(A) (cont’d)
. . . unless
– disclosure is specifically prohibited by law or
– the information is classified

18. WPA – 5 USC § 2302(a)(2)(C)(ii)
Excludes from coverage:
– FBI
– CIA
– NRA
– ODNI
– NRO
–NGIA