Law Firm Representing Corporate Whistleblowers
Corporate codes of ethics or codes of conduct typically contain robust whistleblower protection policies, but too often the policies provide no protection to the whistleblower. Acting in good faith, the whistleblower reports fraud or other corporate wrongdoing and expects to be protected from retaliation. But many whistleblowers suffer retaliation for disclosing fraud or other corporate misconduct and find that the company is focused more on investigating the whistleblower than on investigating the whistleblower’s disclosures or concerns.
While federal whistleblower protection laws provide strong protection to corporate whsitleblowers, some corporate employees are not covered or protected under those whistleblower statutes. Those whistleblowers may be protected under the whistleblower protection policies in corporate codes of ethics. In particular, whistleblowers that have suffered retaliation can potentially sue for breach of contract. For more information about this remedy for retaliation, see Professor Moberly’s article Protecting Whistleblowers by Contract.
An employer’s breach of an anti-retaliation policy in a Code of Ethics can potentially give rise to a breach of contract claim, although the law varies by state.
In early 2015, a federal district court held that an employer’s anti-retaliation policy created legally enforceable rights. See Leyden v. Am. Accreditation Healthcare Comm’n, 83 F. Supp. 3d 241, 247–48 (D.D.C. 2015). In Leyden, the trial court held that the plaintiff had a valid claim based on the employer’s alleged violation of its internal anti-retaliation policy. The court relied on law construing whether employee handbooks created implied contractual rights.
In Leyden, the plaintiff was the Chief Accreditation Officer at the American Accreditation Healthcare Commission, a nonprofit offering accreditation and certification programs to healthcare entities. The defendant had an anti-retaliation policy, which stated: “No URAC employee who in good faith reports any Improper Activities in accordance with this policy shall suffer, and shall be protected from threats of harassment, retaliation, discharge, or other types of discrimination.” The plaintiff voiced concerns that new management was mistreating female executives and that two board members were engaged in conduct that she thought jeopardized the organization’s independence. The defendant then terminated the plaintiff’s employment.
The defendant moved to dismiss the complaint, arguing in relevant part that the anti-retaliation policy did not create contractual rights. Even if it did, the defendant contended, it had disclaimed any such rights in its employee handbook.
However, the court held that the anti-retaliation policy created an implied contract. Id. The court began by reviewing Strass v. Kaiser Foundation Health Plan, a case holding that an employee handbook created an implied contract. Id. at 247 (citing Strass v. Kaiser Found. Health Plan, 744 A.2d 1000 (D.C. 2000)). The court discussed how a manual could create rights, and how an employer could effectively disclaim those rights. Id. The court also rejected the defendant’s argument about the disclaimer, noting that a disclaimer that was “rationally at odds” with the other language in the document may not cut off an implied contract. Id.
In finding an implied contract, the court focused on the employer’s invitation to report “Improper Activities” internally and on the language of the anti-retaliation policy. Id. The court also concluded that the employer’s disclaimer, which was found in a different document, was rationally at odds with the anti-retaliation policy. Id. The reasoning in Leyden may be persuasive in other jurisdictions and provide an important remedy to whistleblowers that are not covered under federal or state whistleblower protection statutes.
To learn if you may have a claim for whistleblower retaliation or breach of a code of ethics, contact Zuckerman Law at 202-262-8959 or email us at [email protected].
SOX Whistleblower Lawyer’s Guide to SOX Whistleblower Protection Law
Some corporate whistleblowers suffering retaliation may have a remedy under the SOX whistleblower protection law. Download our SOX whistleblower lawyers’ free guide to the Sarbanes-Oxley whistleblower protection law:
- See our post in The Compliance and Ethics Blog: Shkreli Trial Reveals the Challenges Faced by Compliance Whistleblowers.
- See our column in Forbes: One Billion Reasons Why The SEC Whistleblower-Reward Program Is Effective.
- See our column in Going Concern: Sarbanes-Oxley 15 Years Later: Accountants Need to Speak Up Now More Than Ever.
- See our post in Accounting Today: Whistleblower Protections and Incentives for Auditors and Accountants.
- See our article providing Tips for SEC Whistleblowers
Federal Contractor Whistleblower Protection
The whistleblower protections of the False Claims Act and the NDAA protect strong protections for employees of federal contractors and grantees.
See our answers to frequently asked questions about False Claims Act whistleblower protection law.
See our answers to frequently asked questions about False Claims Act qui tam whistleblower awards.
For more information about whistleblower protections for employees of government contractors and grantees, including Department of Defense contractors, see our Practical Law Practice Note titled Whistleblower Protections Under the National Defense Authorization Act. This Practice Note surveys the legal protections for employees of federal contractors, subcontractors, and grantees that receive federal funds who report waste, fraud, or abuse involving federal funds, a violation of law, rule, or regulation related to a federal contract, or a substantial and specific danger to public health or safety.
In addition, the outline explains the procedures that govern the filing, investigation and adjudication of National Defense Authorization Act (NDAA) whistleblower retaliation claims.
Topics covered include:
- Protected whistleblowing under the NDAA.
- The scope of coverage of the NDAA’s whistleblower protection provisions.
- The reasonable belief standard governing NDAA protected whistleblowing.
- Proving “contributing factor” causation
- The same-decision affirmative defense
- Remedies or damages available to prevailing NDAA whistleblowers.
Call Our Experienced Whistleblower Lawyers Today
- U.S. News and Best Lawyers® have named Zuckerman Law a Tier 1 firm in Litigation – Labor and Employment in the Washington DC metropolitan area.
- Dallas Hammer has extensive experience representing whistleblowers in retaliation and rewards claims and has written extensively about cybersecurity whistleblowing. He was selected by his peers to be included in The Best Lawyers in America® in the category of employment law in 2021 and 2022.
- Described by the National Law Journal as a “leading whistleblower attorney,” founding Principal Jason Zuckerman has established precedent under a wide range of whistleblower protection laws and obtained substantial compensation for his clients and recoveries for the government in whistleblower rewards and whistleblower retaliation cases. He served on the Department of Labor’s Whistleblower Protection Advisory Committee, which makes recommendations to the Secretary of Labor to improve OSHA’s administration of federal whistleblower protection laws. Zuckerman also served as Senior Legal Advisor to the Special Counsel at the U.S. Office of Special Counsel, the federal agency charged with protecting whistleblowers in the federal government. At OSC, he oversaw investigations of whistleblower claims and obtained corrective action or relief for whistleblowers.
- Zuckerman was recognized by Washingtonian magazine as a “Top Whistleblower Lawyer” (2020, 2018, 2017, 2015, 2009, and 2007), selected by his peers to be included in The Best Lawyers in America® in the category of employment law (2011-2021) and in SuperLawyers in the category of labor and employment law (2012 and 2015-2021), is rated 10 out of 10 by Avvo, based largely on client reviews, and is rated AV Preeminent® by Martindale-Hubbell based on peer reviews
- We have published extensively on whistleblower rights and protections, and speak nationwide at seminars and continuing legal education conferences. We blog about new developments under whistleblower retaliation and rewards laws at the Whistleblower Protection Law and SEC Awards Blog, and in 2019, the National Law Review awarded Zuckerman its “Go-To Thought Leadership Award” for his analysis of developments in whistleblower law.
Law Firm Representing Veterans Affairs Whistleblowers
Whistleblower law firm Zuckerman Law represents Veterans Affairs’ whistleblowers seeking relief for retaliation under the Whistleblower Protection Act. Whistleblower laws prohibit the Veterans Affairs Administration from retaliating against VA whistleblowers that have disclosed:
- a violation of any law, rule, or regulation;
- gross mismanagement;
- a gross waste of funds;
- an abuse of authority; or
- a substantial and specific danger to public health or safety.
VA whistleblowers can obtain a wide range of remedies or damages for whistleblower retaliation, including lost wages, attorney’s fees, equitable relief (e.g., reinstatement, rescinding a suspension, modifying a performance evaluation, etc.) and uncapped emotional distress damages).
Remedies or Damages for Violations of Whistleblower Protection Act
Whistleblower retaliation can derail a career and it is important to have an effective advocate in your corner. Zuckerman Law has obtained relief for whistleblowers in actions before federal administrative agencies and in federal and state courts. Under the Whistleblower Protection Act, a prevailing whistleblower can recover lost wages, attorney’s fees, equitable relief (e.g., reinstatement, rescinding a suspension, modifying a performance evaluation, etc.) and uncapped compensatory damages (emotional distress damages). In addition, a whistleblower can recover fees, costs, or damages reasonably incurred due to a retaliatory investigation.
Recently Zuckerman Law secured full relief for a VA whistleblower, including full reimbursement of attorney’s fees and a favorable reassignment.
Click here to read more federal employee whistleblower rights and protections.
Enhanced Protection for VA Whistleblowers
In 2017, Congress enacted additional protection for VA whistleblowers. In particular, the Department of Veterans Affairs Accountability and Whistleblower Protection Act of 2017 provides:
Whistleblower Protection.-(1) In the case of a covered individual seeking corrective action (or on behalf of whom corrective action is sought) from the Office of Special Counsel based on an alleged prohibited personnel practice described in section 2302(b) of title 5, the Secretary may not remove, demote, or suspend such covered individual under subsection (a) without the approval of the Special Counsel under section 1214(f) of title 5.
(2) In the case of a covered individual who has made a whistleblower disclosure to the Assistant Secretary for Accountability and Whistleblower Protection, the Secretary may not remove, demote, or suspend such covered individual under subsection (a) until-
(A) in the case in which the Assistant Secretary determines to refer the whistleblower disclosure under section 323(c)(1)(D) of this title to an office or other investigative entity, a final decision with respect to the whistleblower disclosure has been made by such office or other investigative entity; or
(B) in the case in which the Assistant Secretary determines not to the refer the whistleblower disclosure under such section, the Assistant Secretary makes such determination.
Guide to the Whistleblower Protection Act
Whistleblower attorneys Eric Bachman and Jason Zuckerman, former senior officials at the U.S. Office of Special Counsel, have released a guide for federal employee whistleblowers titled The Whistleblower Protection Act: Empowering Federal Employees to Root Out Waste, Fraud and Abuse and is available for download by clicking here.
The goal of the guide is to inform federal employees about the whistleblower rights and protections available under the Whistleblower Protection Act, as amended by the Whistleblower Protection Enhancement Act and the Follow the Rules Act. This guide provides an overview of the WPA and offers practical tips for navigating some of the challenging issues that often arise in whistleblower cases. Topics covered include:
- What Disclosures are Protected Under the Whistleblower Protection Act?
- Does the Whistleblower Protection Act Protect Employees Who Exercise an Appeal or Grievance Right?
- Prohibited Forms of Whistleblower Retaliation
- Proving Knowledge of Protected Whistleblowing
- Proving Causation
- What is an Agency’s Burden to Avoid Liability Once the Whistleblower Has Proved Causation?
- Seeking Relief from Retaliation
- Election of Remedies
- Can OSC Seek a Stay of a Personnel Action?
- Damages or Remedies for Retaliation
- Gag Orders and Non-Disclosure Agreements
Co-authors Eric Bachman and Jason Zuckerman have represented employees in Whistleblower Protection Act claims and served in senior leadership positions at the U.S. Office of Special Counsel, the federal agency that enforces the Whistleblower Protection Act.
Experienced Whistleblower Lawyers
The whistleblower lawyers at Zuckerman Law have substantial experience working on Whistleblower Protection Act cases.
- Eric Bachman recently served as Deputy Special Counsel, Litigation and Legal Affairs, at the U.S. Office of Special Counsel, the federal agency charged with protecting whistleblowers in the federal government. During his tenure at OSC, he spearheaded an initiative to combat whistleblower retaliation at the Department of Veterans Affairs, and the number of favorable actions for whistleblowers increased by over 50% agency-wide.
- Jason Zuckerman served as Senior Legal Advisor to the Special Counsel at OSC, where he worked on implementation of the Whistleblower Protection Enhancement Act and several high-profile investigations.
- Dallas Hammer has successfully represented VA whistleblowers, drafted a brief resulting in a rare order enjoining the VA terminating a physician while her discrimination claim was pending.
To learn about whistleblower rights and protections for federal employees, click here or call us today at 202-262-8959.
Whistleblower Rewards and Bounties
The whistleblower rewards attorneys at leading whistleblower law firm Zuckerman Law represent whistleblowers worldwide under various whistleblower reward programs, including the following:
- SEC whistleblower reward program;
- CFTC whistleblower reward program;
- IRS tax fraud whistleblower reward program; and
- Anti-Money Laundering whistleblower reward program.
The firm has successfully represented whistleblowers under the SEC Whistleblower Program and the qui tam provisions of the False Claims Act. Our clients’ SEC whistleblower tips have helped the SEC halt more than $1 billion in fraudulent investment schemes.
For more information about the SEC, CFTC, and IRS whistleblower reward programs, contact an experienced whistleblower rewards attorney at Zuckerman Law today for a free and confidential case review at (202) 930-5901 or (202) 262-8959.
Click here to read reviews and testimonials from whistleblower clients, including CEOs, CFOs, and other corporate executives.
Recently the Association of Certified Fraud Examiners published a profile of Matt Stock’s success fighting fraud:
SEC Whistleblower Reward Program
The SEC Whistleblower Reward Program provides whistleblowers with a strong monetary incentive, as well as substantial protections, for reporting wrongdoing to the SEC, including the following violations of federal securities laws:
- Accounting fraud;
- Investment and securities fraud;
- Insider trading;
- Foreign bribery and other FCPA violations;
- EB-5 investment fraud;
- Manipulation of a security’s price or volume;
- Fraudulent securities offerings and Ponzi schemes;
- Unregistered securities offerings;
- Investment adviser fraud;
- False or misleading statements about a company or investment;
- Inadequate internal controls;
- Deceptive non-GAAP financial measures; and
- Violations of auditor independence rules.
Zuckerman Law also represents whistleblowers in whistleblower retaliation claims including claims brought under the whistleblower protection provisions of the Sarbanes-Oxley Act and similar whistleblower protection laws.
For more information about the SEC Whistleblower Program, download our free ebook SEC Whistleblower Program: Tips from SEC Whistleblower Attorneys to Maximize an SEC Whistleblower Award and see the following resources below.
Tips for SEC Whistleblowers to Qualify for an SEC Whistleblower Award
As discussed in our articles, the SEC whistleblower program has become a very effective enforcement tool for the SEC. But very few whistleblowers have received awards, which underscores the importance of having experienced counsel represent a whistleblower effectively at the SEC.
- MarketWatch: More than 33,000 tips, $2.5 billion in financial remedies and $500 million in awards to investors — the SEC’s whistleblower program turns 10 years old today
- Going Concern: Here Are 6 Reasons Why the SEC Whistleblower Program Is Successful
- National Law Review: 5 Ways that Experienced SEC Whistleblower Law Firms Can Effectively Advocate for Whistleblowers
- D&O Diary: How the SEC Whistleblower Program Has Changed Corporate Compliance and SEC Enforcement
- Forbes: One Billion Reasons Why The SEC Whistleblower-Reward Program Is Effective
Anti-Money Laundering (AML) Whistleblower Rewards Attorneys
Guide to Anti-Money Laundering Act Whistleblower Rewards and ProtectionsOFAC Sanctions Whistleblower Reward Program
SEC Whistleblower Attorneys’ Tips to Successfully Navigate SEC Whistleblower Process
Whistleblower Bounties
Top-Rated Whistleblower Rewards Attorneys
We have assembled a team of leading whistleblower rewards lawyers to provide top-notch representation to whistleblowers. Let us put our unique experience and credentials to work for you:
- U.S. News and Best Lawyers® have named Zuckerman Law a Tier 1 firm in Litigation – Labor and Employment in the Washington DC metropolitan area.
- Matt Stock is a Certified Public Accountant, Certified Fraud Examiner and former KPMG external auditor. As an auditor, Stock developed an expertise in financial statement analysis and internal controls testing and fraud recognition. He uses his auditing experience to help IRS, CFTC and SEC whistleblowers investigate and disclose complex financial frauds to the government and develop a roadmap for the SEC to take an enforcement action. Matt has been interviewed on CNBC, quoted extensively about whistleblower rewards in the media, and is the lead author of SEC Whistleblower Program: Tips from SEC Whistleblower Attorneys to Maximize an SEC Whistleblower Award.
- Dallas Hammer has extensive experience representing whistleblowers in retaliation and rewards claims and has written extensively about cybersecurity whistleblowing. He was selected by his peers to be included in The Best Lawyers in America® in the category of employment law in 2021 and 2022.
- Described by the National Law Journal as a “leading whistleblower attorney,” founding Principal Jason Zuckerman has established precedent under a wide range of whistleblower protection laws and obtained substantial compensation for his clients and recoveries for the government in whistleblower rewards and whistleblower retaliation cases. He served on the Department of Labor’s Whistleblower Protection Advisory Committee, which makes recommendations to the Secretary of Labor to improve OSHA’s administration of federal whistleblower protection laws. Zuckerman also served as Senior Legal Advisor to the Special Counsel at the U.S. Office of Special Counsel, the federal agency charged with protecting whistleblowers in the federal government. At OSC, he oversaw investigations of whistleblower claims and obtained corrective action or relief for whistleblowers.
- Zuckerman was recognized by Washingtonian magazine as a “Top Whistleblower Lawyer” (2020, 2018, 2017, 2015, 2009, and 2007), selected by his peers to be included in The Best Lawyers in America® in the category of employment law (2011-2021) and in SuperLawyers in the category of labor and employment law (2012 and 2015-2021), is rated 10 out of 10 by Avvo, based largely on client reviews, and is rated AV Preeminent® by Martindale-Hubbell based on peer reviews
- We have published extensively on whistleblower rights and protections, and speak nationwide at seminars and continuing legal education conferences. We blog about new developments under whistleblower retaliation and rewards laws at the Whistleblower Protection Law and SEC Awards Blog, and in 2019, the National Law Review awarded Zuckerman its “Go-To Thought Leadership Award” for his analysis of developments in whistleblower law.
- Our attorneys have been quoted by and published articles in leading business, accounting, and legal periodicals, including The Wall Street Journal, Forbes, CNBC, MarketWatch, Vox, Accounting Today, Going Concern, Law360 – Expert Analysis, Investopedia, The National Law Review, inSecurities, Government Accountability Project, S&P Global Market Intelligence, Risk & Compliance Magazine, The D&O Diary, The Compliance and Ethics Blog, Compliance Week and other printed and electronic media.
Whistleblower Protections for SEC Whistleblowers
AML Whistleblower Lawyers’ Expert Analysis About AML Whistleblower Reward Program
Resources About Whistleblower Rewards and Bounties
- Tips for SEC Whistleblowers
- Leading SEC Whistleblower Law Firm Featured in Article About Growing Wave of Whistleblower Lawsuits
- SEC Whistleblower Reward Program FAQ
- Auditors’ and accountants’ guide to SEC whistleblower awards
- Whistleblower Protections and Incentives for Auditors and Accountants
- How to Report EB-5 Fraud and Earn an SEC Whistleblower Award
- CFTC Strengthens Anti-Retaliation Protections for Whistleblowers and Improves CFTC Whistleblower Award Program
- SEC Cracking Down on Ponzi Schemes
- SEC Scrutinizes “Fake News” Stock Promotion Schemes
- SEC Whistleblower Program: Exposing Insider Trading
- SEC Awards for Disclosures of Foreign Bribery or FCPA Violations
- Whistleblower Rewards and Bounties for Disclosures of Market Manipulation Schemes
- SEC Targeting Investment Adviser Fraud
- Compliance Personnel, Auditors, Officers and Directors Can Obtain SEC Whistleblower Awards
- Money Laundering and the SEC Whistleblower Program
- International Whistleblower Representation – SEC Whistleblower Attorney
- Anonymous Whistleblowing: Does the SEC Whistleblower Program Protect a Whistleblower’s Identity?
- SEC Awards for Disclosures of Foreign Bribery or FCPA Violations
- Securities Fraud Enforcement Action Prompts the Question: What Was the Company Smoking?
- Compliance Officer Whistleblower Representation
- SEC Whistleblower Program: What is the SEC Form TCR?
- Tale of Two Whistleblowers: Lessons Learned from Today’s SEC Whistleblower Award
- Whistleblowers Help CFTC Obtain Record Penalties for Commodities Fraud
- Report Underscores Importance of Whistleblower Rewards and Protections for Internal Auditors
- SEC Sanctions: Whistleblower Reference Guide
- Protections and Rewards for Cybersecurity Whistleblowers
- CFTC Announces Second Whistleblower Award in 2016 as the Agency’s Whistleblower Reward Program Picks Up Steam
- EB-5 Visa Scandal Underscores the Critical Role Whistleblowers Play in Exposing EB-5 Fraud
- SEC Enforcement Director Touts Success of SEC Whistleblower Program
- SEC Whistleblower Program Not Limited to Corporate Insiders
- SEC Pays $3M Award to Whistleblower
- SEC Draft Strategic Plan Affirms the Importance of the SEC’s Whistleblower Reward Program
- Whistleblower Lawyer Interviewed About SEC Whistleblower Award
- Wall Street Journal Quotes Jason Zuckerman on Dodd-Frank SEC Regulations
- SEC Whistleblower Lawyer Quoted in National Law Journal About SEC Whistleblower Program
- SEC Whistleblower Lawyer Zuckerman Quoted About SEC Whistleblower Award for Independent Analysis
- SEC Whistleblower Lawyer Jason Zuckerman Quoted About Tips for SEC Whistleblowers
- Whistleblower Lawyer Jason Zuckerman Quoted About SEC Whistleblower Award
- Whistleblower Lawyer Interviewed About the Rise of Cybersecurity Whistleblowing
- Whistleblower Attorney Zuckerman Quoted in Washington Post About SEC Order
- Whistleblower Attorney Dallas Hammer Interviewed by Bloomberg About Dodd-Frank Protected Whistleblowing
- SEC Whistleblower Lawyer Zuckerman Quoted About SEC Whistleblower Award for Independent Analysis
- Audit committees need to dig into personal relationships
- Whistleblower Bounties Pose Challenges
- CFO Magazine Quotes Whistleblower Attorney Jason Zuckerman About Dodd-Frank Whistleblower Rules
- Fiscal Times Quotes Jason Zuckerman About Dodd-Frank Act Whistleblower Reward Provisions
- Whistleblower Attorney Jason Zuckerman Quoted About Battle Over Corporate Whistleblower Rules
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