FAQs on Whistleblowing
Whistleblower Emergency Response Guide
Russ Berland 816.691.3180 e-mail| vCard
Brian O'Bleness 816.691.3314 e-mail| vCard
Investigations have taken on a new significance in today's corporations. If violations of law within a company are undetected due to a lack of diligence in identifying them, that company may have to answer for an ineffective compliance program. If an allegation of corporate malfeasance is reported internally – but no or inadequate action is taken – the company may find itself subject to an SEC or criminal investigation. If an employee reports concerns to the SEC, the company may receive an SEC inquiry, asking the company to conduct an investigation and report back. Investigations are no longer the informal fact-gathering and interview process they used to be. Now that the Dodd-Frank Whistleblower Bounty Line at the SEC is active, employees, suppliers, customers and other stakeholders can fill out an online form to levy allegations against any publicly-traded company. That step alone starts a process that could lead to large financial payouts for individuals making claims of illegal activity, and it could force companies to undertake potentially difficult investigations to address allegations. Or those same individuals could respond to one of the many ads on TV, billboards, or the Internet, telling their stories to attorneys who can complete the online for them. Either way, the first steps a company takes after learning of an allegation are crucial. Smart companies are using highly-trained, internal investigation resources and/or professional investigative assistance in response to allegations.
Investigations have taken on a new significance in today's corporations. If violations of law within a company are undetected due to a lack of diligence in identifying them, that company may have to answer for an ineffective compliance program. If an allegation of corporate malfeasance is reported internally – but no or inadequate action is taken – the company may find itself subject to an SEC or criminal investigation. If an employee reports concerns to the SEC, the company may receive an SEC inquiry, asking the company to conduct an investigation and report back. Investigations are no longer the informal fact-gathering and interview process they used to be.
Now that the Dodd-Frank Whistleblower Bounty Line at the SEC is active, employees, suppliers, customers and other stakeholders can fill out an online form to levy allegations against any publicly-traded company. That step alone starts a process that could lead to large financial payouts for individuals making claims of illegal activity, and it could force companies to undertake potentially difficult investigations to address allegations. Or those same individuals could respond to one of the many ads on TV, billboards, or the Internet, telling their stories to attorneys who can complete the online for them. Either way, the first steps a company takes after learning of an allegation are crucial.
Smart companies are using highly-trained, internal investigation resources and/or professional investigative assistance in response to allegations.
Stinson's Whistleblower and Investigation Response Team consists of attorneys who know how to conduct timely, thorough and professional investigations. We can do the investigation ourselves or we can help train your internal investigation resources and provide assistance, as needed. We know how to work with the Securities & Exchange Commission , the Department of Justice and other prosecutors and regulators. We can help you respond promptly and properly as we walk you through the investigation and reporting steps. Throughout the process, we provide legal advice and suggestions that will strengthen your company against future misconduct. Stinson's attorneys have conducted literally hundreds of investigations and have assisted companies with compliance, corporate investigation training, SEC and board reporting, liability mitigation and litigation. Stinson has represented individuals and corporations in investigations and administrative proceedings conducted by the SEC, DOJ, state securities commissions and the New York Stock Exchange, involving issues such as Foreign Corrupt Practices Act, financial reporting, insider trading, fraud and other potential violations of law. In these cases, Stinson's attorneys have provided the following: Legal and compliance advice for the board and management Investigations Internal investigator training and investigation assistance Governance policies for hotlines, whistleblowers and non-retaliation Prosecutor and regulator negotiation & resolution Litigation In addition, through strategic relationships with forensic accounting, IT forensic and other investigation professionals, Stinson provides your team with a cost-effective, coordinated response when the whistleblowing call comes in. Scope of Service Stinson's Whistleblower and Investigation Response Team provides legal counsel for various types investigations. Our services include: Compliance and governance Investigation, hotline and non-retaliation policies Investigation governance and guidelines Corporate governance, risk and compliance Conduct or assist with investigations Collection and analysis of a wide range of electronic and hard copy data sources Interviews Data analysis Reviews of processes and controls for systemic problems and weaknesses SEC and legal advice Security laws Liability avoidance or minimization Labor and employment law Investigations training and skill development Board and SEC/other prosecutor or regulator reporting Cost-effective litigation
Stinson's Whistleblower and Investigation Response Team consists of attorneys who know how to conduct timely, thorough and professional investigations. We can do the investigation ourselves or we can help train your internal investigation resources and provide assistance, as needed. We know how to work with the Securities & Exchange Commission , the Department of Justice and other prosecutors and regulators. We can help you respond promptly and properly as we walk you through the investigation and reporting steps. Throughout the process, we provide legal advice and suggestions that will strengthen your company against future misconduct.
Stinson's attorneys have conducted literally hundreds of investigations and have assisted companies with compliance, corporate investigation training, SEC and board reporting, liability mitigation and litigation.
Stinson has represented individuals and corporations in investigations and administrative proceedings conducted by the SEC, DOJ, state securities commissions and the New York Stock Exchange, involving issues such as Foreign Corrupt Practices Act, financial reporting, insider trading, fraud and other potential violations of law. In these cases, Stinson's attorneys have provided the following:
In addition, through strategic relationships with forensic accounting, IT forensic and other investigation professionals, Stinson provides your team with a cost-effective, coordinated response when the whistleblowing call comes in.
Stinson's Whistleblower and Investigation Response Team provides legal counsel for various types investigations. Our services include: