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Index
Cover Series Title Page Copyright Dedication Other Works by Frederick D. Lipman Foreword Acknowledgments Introduction
CLASSIFICATION OF WHISTLEBLOWERS ORGANIZATION OF BOOK NOTES
Part One: The Whistleblowers and the Dodd-Frank Incentives
Chapter One: The Dramatic Expansion of Whistleblower Awards under Dodd-Frank
WHISTLEBLOWER PROVISIONS OF DODD-FRANK WHAT IS “ORIGINAL INFORMATION”? WHAT ARE VIOLATIONS OF THE FEDERAL SECURITIES LAWS? RULE 10B-5: MARKET MANIPULATION VIOLATING THE ACCOUNTING STANDARDS FALSE FINANCIAL STATEMENTS BY PUBLIC COMPANIES OTHER SECURITIES LAWS PROTECTIONS FOR WHISTLEBLOWERS COMMODITY EXCHANGE ACT NOTES
Chapter Two: The Remarkable Story of Cheryl Eckard and the $96 Million Bounty under the False Claims Act
WHO IS CHERYL ECKARD? ECKARD'S POST-TERMINATION ACTIVITIES ECKARD'S SUPERIORS BACKGROUND ALLEGATIONS ALLEGED VIOLATIONS TIMELINE OF ECKARD'S ALLEGED ACTIVITIES THE LESSONS OF GLAXO NOTES
Chapter Three: The Pfizer Whistleblowers Who Collected Over $100 Million under the False Claims Act
JOHN KOPCHINSKI BEXTRA THE COMPLAINT PFIZER LESSONS NOTES
Part Two: Disincentives and Factors Motivating Public Disclosure
Chapter Four: Disincentives to Internal Whistleblowers
FINANCIAL DISINCENTIVES NONFINANCIAL DISINCENTIVES CONTRACTUAL COMMITMENTS AND FIDUCIARY DUTIES ETHICS RESOURCE CENTER SURVEY REINSTATEMENT AS A REMEDY EMPIRICAL STUDY NOTES
Chapter Five: Women as Whistleblowers
SHERRON WATKINS CYNTHIA COOPER COLEEN ROWLEY EXTERNAL REPORTING BY INTERNAL WHISTLEBLOWERS WHISTLEBLOWER ANONYMITY NOTES
Part Three: Organizational Best Practices
Chapter Six: Why Should Organizations Adopt a Robust Whistleblower System?
DIMINISHMENT OF SHAREHOLDER WEALTH BOARDS OF DIRECTORS WE WERE DUPED! EXECUTIVE WHISTLEBLOWERS WHY INDEPENDENT DIRECTORS CANNOT RELY SOLELY ON INDEPENDENT OR INTERNAL AUDITORS LEGAL STANDARD CAREMARK RECOMMENDED STRATEGY CRIMINAL LIABILITY OF AN ORGANIZATION RESPONSIBLE CORPORATE OFFICER DOCTRINE THE ACME MARKETS CASE THE U.S. DEPARTMENT OF JUSTICE CRIMINAL GUIDELINES THE DISADVANTAGES OF A ROBUST WHISTLEBLOWER SYSTEM NOTES
Chapter Seven: Establishing a Robust Whistleblower System
PROBLEMS WITH THE CURRENT WHISTLEBLOWER SYSTEM INITIAL STEPS ELEMENTS OF A ROBUST WHISTLEBLOWER POLICY INDEPENDENT DIRECTORS MUST BE IN CHARGE THE WHISTLEBLOWER PROGRAM MUST BE INDEPENDENTLY ADMINISTERED WHISTLEBLOWER COMPLAINTS SHOULD BE INVESTIGATED BY INDEPENDENT COUNSEL REPORTING DIRECTLY TO THE INDEPENDENT DIRECTORS THERE SHOULD BE NO PRESUMPTION THAT ANONYMOUS COMPLAINTS ARE LESS DESERVING OF INVESTIGATION MOTIVATIONS AND PERSONALITY OF THE WHISTLEBLOWER ARE NOT RELEVANT TO THE TRUTH OF THE ALLEGATIONS ABSOLUTE PROTECTION OF WHISTLEBLOWERS' IDENTITY IS ESSENTIAL ASSESS THE EFFECTIVENESS OF HOTLINES AND PROVIDE EMPLOYEE COMPLIANCE TRAINING INDEPENDENT COUNSEL SHOULD REPORT THE STATUS AND RESULTS OF THE INVESTIGATION INTERNAL WHISTLEBLOWERS SHOULD RECEIVE MEANINGFUL MONETARY REWARDS THE WHISTLEBLOWER POLICY MUST BE COMMUNICATED EFFECTIVELY THERE SHOULD BE MILDER SANCTIONS FOR WHISTLEBLOWERS INVOLVED IN ILLEGAL GROUP ACTIVITY RETALIATION CLAIMS SHOULD BE INDEPENDENTLY INVESTIGATED THE DIRECTOR OF CORPORATE COMPLIANCE SHOULD BECOME THE EYES AND EARS OF THE INDEPENDENT DIRECTORS MAJOR DOs AND DON'Ts FOR CEOs NOTES
Part Four: Statutory Incentives and SEC Award Regulations
Chapter Eight: The False Claims Act: Qui Tam Cases
WHAT IS A FALSE CLAIM? FALSE CLAIMS ACT BOUNTIES U.S. DEPARTMENT OF JUSTICE MEMORANDUM STATUTE OF LIMITATIONS NOTES
Chapter Nine: IRS Whistleblowers
SECTION 7623(b): MANDATORY WHISTLEBLOWER AWARDS REDUCTION OF AWARD PERCENTAGE SECTION 7623(a): DISCRETIONARY AWARDS FORM 211 IRS WHISTLEBLOWERS AWARDS IRS AWARD DETERMINATIONS AWARD ADMINISTRATIVE PROCEEDINGS APPEAL TO TAX COURT DURATION OF PROCESS AND AWARD PAYMENT CONFIDENTIALITY OF WHISTLEBLOWER RIGHT TO COUNSEL IRS CONTRACTS DISQUALIFICATION OF U.S. TREASURY DEPARTMENT FEDERAL EMPLOYEES NOTES
Chapter Ten: Other Statutory Incentives and Protections for Whistleblowers
ACT TO PREVENT POLLUTION FROM SHIPS FALSE PATENT MARKING STATUTE U.S. TARIFF ACT OF 1930 STATE FALSE CLAIMS STATUTES WHISTLEBLOWER PROTECTIONS BARKER V. UBS OTHER STATUTORY WHISTLEBLOWER PROTECTIONS NOTES
Chapter Eleven: A Step-by-Step Guide to SEC Whistleblower Awards under Dodd-Frank
SUMMARY SEC INVESTOR PROTECTION FUND DOES THE WHISTLEBLOWER NEED AN ATTORNEY? STEP-BY-STEP GUIDE DETERMINING WHETHER THE OVER $1 MILLION THRESHOLD IS SATISFIED DETERMINING THE AMOUNT OF AN AWARD MUST AN EMPLOYEE COMPLY WITH THE COMPANY'S INTERNAL COMPLIANCE PROGRAM? CONFIDENTIALITY NONWAIVER OF WHISTLEBLOWER RIGHTS APPEALS ANTI-RETALIATION PROVISION NOTES
Appendix One: IRS Form 211 Appendix Two: SEC Form TCR—Tip, Complaint or Referral Appendix Three: SEC Form WB-APP —Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934 Appendix Four: SEC Whistleblower Rules
§ 240.21F-1 GENERAL § 240.21F-2 WHISTLEBLOWER STATUSAND RETALIATION PROTECTION § 240.21F-3 PAYMENT OF AWARDS § 240.21F-4 OTHER DEFINITIONS § 240.21F-5 AMOUNT OF AWARD § 240.21F-6 CRITERIA FOR DETERMINING AMOUNT OF AWARD § 240.21F-7 CONFIDENTIALITY OF SUBMISSIONS § 240.21F-8 ELIGIBILITY § 240.21F-9 PROCEDURES FOR SUBMITTING ORIGINAL INFORMATION § 240.21F-10 PROCEDURES FOR MAKING A CLAIM FOR A WHISTLEBLOWER AWARD IN SEC ACTIONS THAT RESULT IN MONETARY SANCTIONS IN EXCESS OF $1,000,000 § 240.21F-11 PROCEDURES FOR DETERMINING AWARDS BASED UPON A RELATED ACTION § 240.21F-12 MATERIALS THAT MAY FORM THE BASIS OF AN AWARD DETERMINATION AND THAT MAY COMPRISE THE RECORD ON APPEAL § 240.21F-13 APPEALS § 240.21F-14 PROCEDURES APPLICABLE TO THE PAYMENT OF AWARDS § 240.21F-15 NO AMNESTY § 240.21F-16 AWARDS TO WHISTLEBLOWERS WHO ENGAGE IN CULPABLE CONDUCT § 240.21F-17 STAFF COMMUNICATIONS WITH INDIVIDUALS REPORTING POSSIBLE SECURITIES LAW VIOLATIONS
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