Slides

1. The Law of
Whistleblowing
Washington University – Fall 2014
class # 11

2. Ways the Law Encourages Wg
1. Require Wg
2. Prohibit retaliation against Ws
3. Compensate Ws who experience retaliation
4. Require / encourage organizations to
facilitate Wg
5. Provide financial incentives to Ws

3. Ways the Law Encourages Wg
1. Require Wg
2. Prohibit retaliation against Ws
3. Compensate Ws who experience retaliation
4. Require / encourage organizations to
facilitate Wg
5. Provide financial incentives to Ws

4. Ways the Law Encourages Wg
1. Require Wg
2. Prohibit retaliation against Ws
3. Compensate Ws who experience retaliation
4. Require / encourage organizations to
facilitate Wg
5. Provide financial incentives to Ws

5. SOX Protected Activity
Reporting conduct
that you
reasonably believed
constitutes
violation of

6. 1341 – mail fraud
1343 – wire fraud
1344 – bank fraud
1348 – securities fraud
SEC rule or reg
fed law re: securities fraud

7. Recipients
fed. regulator / law enFment
Congress
supervisor / er’s investigator

8. Prima Facie Case
1. Protected activity
2. Employer knew of it
3. Unfavorable personnel action
4. Circumstances suggest that protected
activity was a contributing factor

9. Resources
for
Researching
Legal
Ethics

10. HAZARD & HODES, THE LAW OF LAWYERING
ABA ANNOTATED MODEL RULES
ALI, RESTATEMENT - LAW GOVERNING LAWYERS
MALLEN, SMITH & RHODES, LEGAL MALPRACTICE
ABA/BNA LAWYERS MANUAL