Whistleblowers


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Whistleblower’s defamation case reveals scope of USAA ‘coverup’

2024-12-06T12:45:00+00:00By

A defamation lawsuit filed by a whistleblower against USAA, which a Florida judge recently dismissed on a technicality, revealed in public court records an estimated 400,000 violations of the Military Lending Act by USAA Federal Savings Bank (USAA Bank), an indirect wholly owned subsidiary of USAA.

SEC office

News Brief

SEC levies no fine against Kiromic BioPharma after material omissions self-disclosure

2024-12-03T17:48:00+00:00By

Kiromic BioPharma will pay no fine to the Securities and Exchange Commission after self-reporting that it failed to disclose material information about two cancer drugs to investors.

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Could your firm potentially be the subject of a DOJ whistleblower action? Time to get ready

2024-11-27T18:22:00+00:00By

Now that the U.S. Department of Justice launched a new pilot whistleblower program, many questions remain. What types of companies might find themselves to be the subject of a criminal investigation stemming from a whistleblower tip? And what should they do to prepare for a whistleblower tip?

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Webcast

Webcast: The DOJ’s Corporate Whistleblower Program: What we’ve learned and how it can change in the future

2024-11-21T14:00:00+00:00Provided by

We will discuss the critical role whistleblowers play in law enforcement, and how the DOJ has structured its program to incentivize people to come forward.

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Webcast

‘200+ tips in 3 months’: DOJ’s corporate whistleblower program so far

2024-11-18T20:21:00+00:00By

The Department of Justice received more than 200 whistleblower tips since it launched its long-awaited Corporate Whistleblower Awards (CWA) Pilot Program on Aug. 1, according to the program’s Acting Director Patrick Gushue in a Compliance Week exclusive.

WhistleblowerReward

News Brief

CFTC cites ‘unreasonably delayed reporting’ for unevenly split $4M whistleblower award

2024-11-13T20:23:00+00:00By

“Unreasonably delayed reporting” cost one of two claimants whom will unevenly split a $4 million whistleblower award from the Commodity Futures Trading Commission for providing information that led to a successful enforcement action.

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News Brief

DOJ orders Paragon Systems, subsidiary to pay $54M over front company contracts scheme

2024-11-13T18:21:00+00:00By

Paragon Systems, a Virginia-based security contractor, and a subsidiary will pay nearly $54 million to resolve allegations that its corporate executives–including its compliance manager–conspired to win Department of Homeland Security contracts by creating fraudulent small business front companies.

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Webcast

CPE Webcast: Protect Your Business: Mastering whistleblower reporting for SMBs

2024-10-29T14:00:00+00:00Provided by

Register for this webcast to gain expert strategies for creating a strong whistleblower program in your business.

Raytheon

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Raytheon parent RTX settles false claims, defective pricing, Qatar FCPA violations for $950M

2024-10-17T17:01:00+01:00By

The other shoe finally dropped for Raytheon and parent company RTX, as two U.S. regulators announced nearly $1 billion in penalties to settle defective pricing in defense contracts, false claims related to inflated prices on government contracts, and bribes paid to government officials in Qatar that violated the FCPA.

Data breach

News Brief

Government contractor fined $307K after third-party hack compromised personal data

2024-10-16T15:34:00+01:00By

It was a double whammy of cybersecurity no-nos for a federal contractor hit with a data breach: The personal data of Medicare beneficiaries contained in unencrypted screenshots were allegedly compromised when their third-party vendor’s server was hacked.

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News Brief

Teva Pharma to pay $450M to settle kickback, price-fixing allegations

2024-10-11T19:53:00+01:00By

Generic drug giant Teva Pharmaceuticals has agreed to pay $450 million to settle two cases brought by the Department of Justice (DOJ), including one alleging that co-pays it made on behalf of Medicare patients constituted illegal kickbacks, and a second action for alleged generic drug price fixing.

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Premium

Are the qui tam provisions of the False Claims Act constitutional? A Florida judge just said no

2024-10-02T17:49:00+01:00By

A federal court in Florida has lashed out at federal whistleblower programs by dismissing a mundane False Claims Act case against a medical practice on the grounds that the qui tam provisions of the FCA are unconstitutional.

DOJ

News Brief

DOJ updates ECCP to include AI risks, whistleblower protections

2024-09-26T14:23:00+01:00By

Companies under criminal prosecution by the Department of Justice for any reason must show they have robust compliance for any artificial intelligence in use–or risk heightened prosecution–under a DOJ policy update.

SEC

News Brief

SEC penalizes seven firms $3M total for impeding whistleblower protections

2024-09-09T15:34:00+01:00By

Seven public companies will pay a total of $3 million in fines for requiring employees to sign agreements containing provisions that impeded their ability to report misconduct to the Securities and Exchange Commission.

SEC

News Brief

SEC fines Nationwide Planning, affiliates combined $240K over impeding whistleblowers

2024-09-05T18:19:00+01:00By

Broker-dealer Nationwide Planning Associates and two affiliated investment advisers impeded potential whistleblowers from reporting misconduct to the Securities and Exchange Commission and have agreed to settle the charges for a combined $240,000.

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Opinion

Ian Sherr joins Compliance Week as its new editor-in-chief

2024-09-03T13:47:00+01:00By

New Compliance Week Editor-In-Chief Ian Sherr shares his thoughts on where compliance is headed as businesses meet the realities of not just following the rules, but staying ahead of the pace of regulatory change at a global scale. 

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News Brief

DOJ orders LA to pay $38M over filing false claims for HUD grants

2024-08-27T19:12:00+01:00By

Los Angeles will pay more than $38 million to resolve allegations, first brought by two whistleblower, that for a decade the city knowingly shut people with disabilities out of affordable housing created through federal funds, the Department of Justice (DOJ) said.

WhistleblowerReward

News Brief

Two pairs of whistleblowers claim separate SEC awards totaling $122M

2024-08-27T14:09:00+01:00By

Two pairs of claimants will receive whistleblower awards totaling more than $98 million and $24 million, respectively, for information they provided to the Securities and Exchange Commission that led to an enforcement action.

DOJ wall

News Brief

DOJ joins compliance officers in lawsuit over Georgia Tech cyber lapses

2024-08-26T14:37:00+01:00By

The Department of Justice joined a whistleblower lawsuit filed by two former Georgia Tech compliance officers who alleged that the institute violated the False Claims Act by knowingly failing to meet cybersecurity requirements in a Department of Defense contract.

Whistleblower

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U.K. whistleblower protections, awards needed to compensate ‘career suicide’

2024-08-23T15:47:00+01:00By

Discrimination against whistleblowers in the U.K. has risen to such a level that the government may need to actively pursue plans to afford greater legal protection, as well as introduce financial awards to compensate for their “career suicide.”

DOJ

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Hospice agency Intrepid USA to pay $3.8M over false claims to Medicare

2024-08-23T13:10:00+01:00By

Home health and hospice agency Intrepid USA agreed to pay $3.8 million to settle allegations, first brought by four whistleblowers, that its facilities billed Medicare for services patients were not qualified to receive, according to the Department of Justice.

DOJ

News Brief

DOJ orders apparel importer Alexis to pay $7.7M over underpaid customs duties

2024-08-13T21:00:00+01:00By

Women’s apparel importer Alexis agreed to pay nearly $7.7 million to settle allegations, first raised by a whistleblower, that it intentionally underpaid customs duties, according to the Department of Justice.

DOJ

News Brief

Avantor agrees to pay $5.3M to settle false claims, chemicals reporting violations

2024-08-02T15:32:00+01:00By

Laboratory supply company Avantor agreed to pay $5.3 million to settle allegations, first brought by a whistleblower, that it overcharged four federal agencies and failed to comply with chemical regulations, the Department of Justice said.

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Game-changing DOJ pilot whistleblower program panned by critics

2024-08-02T14:12:00+01:00By

The Department of Justice released the details of its long-awaited corporate whistleblower awards pilot program that will prioritize reporting in areas of corporate crime not currently covered by existing whistleblower programs.

Shipping

News Brief

OSHA orders Maersk to pay $707K over suspending, firing whistleblower

2024-07-30T12:52:00+01:00By

Global shipping giant Maersk Line Limited agreed to pay more than $707,000 and reinstate a seaman who was terminated after he alerted a federal regulatory agency about alleged safety violations, the U.S. Department of Labor’s Occupational Safety and Health Administration said.

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News Brief

SEC awards $37M to whistleblower who was retaliated against by supervisors

2024-07-29T17:07:00+01:00By

The Securities and Exchange Commission announced its second $37 million whistleblower award in as many weeks with four claimants vying for the payout, but only one reaping the benefits.

DOJ

News Brief

DOJ orders Admera Health to pay $5.5M to settle kickback allegations

2024-07-26T13:36:00+01:00By

Admera Health agreed to pay more than $5.5 million to resolve allegations first brought by two whistleblowers that it paid kickbacks to third-party contractors, the Department of Justice said.

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News Brief

CFPB warns against censoring whistleblowers via broad NDAs

2024-07-25T17:36:00+01:00By

The Consumer Financial Protection Bureau is warning companies against intimidating potential whistleblowers by forcing them to sign broad nondisclosure agreements to deter misconduct from coming to light.

Diversity

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Survey tackles aligning cross-generational views of ethics in the workplace

2024-07-22T16:04:00+01:00By

Companies may need to examine employees by age group to find out how likely some workers might be to ditch compliance to complete tasks.

Dialysis machine

News Brief

DOJ orders DaVita to pay $34M over alleged dialysis center kickback scheme

2024-07-19T18:32:00+01:00By

DaVita, a multi-state dialysis provider, agreed to pay more than $34 million to resolve allegations it engaged in numerous kickback schemes to doctors who referred Medicare patients to its dialysis centers, the Department of Justice announced.

Whistleblower vector

News Brief

SEC whistleblower to receive $37M award

2024-07-19T16:20:00+01:00By

A whistleblower will be paid $37 million by the Securities and Exchange Commission for providing original, credible information that led to a successful enforcement action.

Hospital bed

News Brief

Kindred hospice agrees to pay $19M in multi-state DOJ false claims case

2024-07-18T20:20:00+01:00By

A multi-state hospice home health provider agreed to pay $19.4 million to settle allegations that it paid kickbacks and knowingly billed federal health programs to treat non-terminally ill patients.

Whistle

News Brief

Employees accuse OpenAI of illegal NDAs blocking whistleblower rights

2024-07-16T16:48:00+01:00By

Anonymous employees of OpenAI accused the company of requiring employees to sign nondisclosure agreements (NDAs) that “prohibited and discouraged” them from reporting securities law violations to federal regulators.

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News Brief

Rite Aid reaches $410M settlement with DOJ in opioid false claims case

2024-07-11T14:40:00+01:00By

Rite Aid agreed to pay $7.5 million and allow the Department of Justice to access nearly $402 million from the company’s forthcoming bankruptcy case to settle allegations it helped fuel the nation’s opioid epidemic.

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Q&A: Seaco general counsel, compliance head on environmental regulations

2024-07-03T18:17:00+01:00By

Dominic Buckwell, general counsel and compliance head at global marine container leasing company Seaco, discussed key themes including anti-money laundering, sanctions, and why the industry needs common environmental reporting standards.

DOJ

News Brief

Tareen Dermatology agrees to pay $1.6M over false claims to Medicare

2024-07-01T21:14:00+01:00By

A Minnesota dermatology practice, its owner, and chief executive agreed to pay $1.6 million to settle allegations, first brought by two whistleblowers, that the company violated the Anti-Kickback Statue by making false claims to Medicare.

DOJ

News Brief

DOJ orders Houston medical centers to pay $15M over concurrent billing false claims

2024-06-25T17:17:00+01:00By

Houston-based medical center institutions agreed to jointly pay $15 million to settle allegations for improperly billing Medicare for concurrent surgeries in violation of teaching physician and informed consent regulations.

DOJ

News Brief

Averhealth to pay $1.3M in DOJ drug test false claims case

2024-06-24T17:24:00+01:00By

National drug testing firm Averhealth agreed to pay $1.3 million to settle allegations, first brought by a whistleblower, that it knowingly submitted false claims to the Michigan Department of Health and Human Services, the Department of Justice announced.

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News Brief

DOJ orders Lockheed Martin units to pay $70M for improper subcontracting

2024-06-24T17:01:00+01:00By

Two subsidiaries of aerospace giant Lockheed Martin agreed to pay $70 million to settle allegations levied by the Department of Justice of overcharging the Navy for aircraft parts.

Whistle

News Brief

CFTC awards whistleblower $8M despite involvement in misconduct

2024-06-20T15:37:00+01:00By

A whistleblower received an $8 million award from the Commodity Futures Trading Commission for uncovering fraud—even though the agency deemed the whistleblower was culpable in the misconduct.

DOJ

News Brief

DOJ orders consultants to pay $11.3M total for cyber rule violations

2024-06-18T19:49:00+01:00By

Guidehouse and Nan McKay and Associates will pay a total of $11.3 million to the Department of Justice (DOJ) to settle allegations that cybersecurity failures led to the theft of client personal information during the height of the COVID-19 pandemic.

Trafigura

News Brief

CFTC orders Trafigura to pay $55M over fraud, impeding whistleblowers

2024-06-17T20:35:00+01:00By

Singapore-based commodity trading company Trafigura will pay $55 million to the Commodity Futures Trading Commission to settle charges related to fraud, manipulation, and impeding whistleblower communications with the agency.

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Webcast

CPE Webcast: Compliance programs under scrutiny

2024-06-11T14:00:00+01:00Provided by

Explore government expectations for compliance programs and how companies facing regulatory scrutiny design and implement programs to position themselves for the best possible outcome.

CityMD

News Brief

CityMD to pay $12M over Covid-19 false claims

2024-06-10T16:01:00+01:00By

CityMD, the largest provider of urgent care practices across New York and New Jersey, agreed to pay approximately $12 million as part of a settlement with the Department of Justice addressing the alleged submission of false claims for payment for Covid-19 testing.

Health data

News Brief

Bluestone Physician Services to pay $14.9M in false claims case

2024-06-06T19:07:00+01:00By

Bluestone Physician Services agreed to pay approximately $14.9 million and abide by a corporate integrity agreement to settle allegations that it filed false claims to federal and state health programs for chronic pain care to people in assisted living facilities.

Whistle question

Premium

What to watch for as DOJ whistleblower program sprint ends

2024-06-05T19:14:00+01:00By

The Department of Justice’s 90-day sprint to developing and implementing a pilot whistleblower rewards program ended Wednesday, and many questions remain about what the program will entail.

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Premium

Experts express skepticism toward ‘challenging’ SFO strategy

2024-05-31T15:47:00+01:00By

The U.K. Serious Fraud Office last month published its five-year strategic plan outlining how it intends to improve information gathering and international cooperation, as well as its enforcement record.

Medical devices

News Brief

Innovasis, execs settle false claims case for $12M

2024-05-30T19:00:00+01:00By

Medical device manufacturer Innovasis and two of its top executives agreed to pay a total of $12 million to settle allegations originally brought by a whistleblower that they paid kickbacks to physicians.

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Event

Creative engagement approach drives Compliance Innovators Johnson, Sudo

2024-05-28T16:00:00+01:00By

Through clever rhymes and real-life examples, Sharon Johnson and Heather Sudo of MODE Global have made it their mission to think outside the box when it comes to compliance awareness. Their approach earned them Compliance Innovator(s) of the Year at the 2024 Excellence in Compliance Awards.

Whistleblower vector

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​Debate: Experts discuss pros, cons of whistleblower process

2024-05-23T15:35:00+01:00By

Compliance Week Advisory Board members Eric Young and Ellen Hunt participate in a debate-style discussion regarding whistleblower-related topics including culture of compliance, monetary incentives, retaliation, and more.