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Legal Ethics and Professional Responsibility Commons™
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Full-Text Articles in Legal Ethics and Professional Responsibility
Conflicted Counselors: Retaliation Protections For Attorney-Whistleblowers In An Inconsistent Regulatory Regime, Jennifer M. Pacella
Conflicted Counselors: Retaliation Protections For Attorney-Whistleblowers In An Inconsistent Regulatory Regime, Jennifer M. Pacella
Jennifer M. Pacella, Esq.
Attorneys, especially in-house counsel, are subject to retaliation by employers in much the same way as traditional whistleblowers, often experiencing retaliation and loss of livelihood for reporting instances of wrongdoing about their clients. Although attorney-whistleblowing undoubtedly invokes ethical concerns, attorneys who “appear and practice” before the Securities and Exchange Commission (“SEC”) are required by federal law to act as internal whistleblowers under the Sarbanes-Oxley Act (“SOX”) and report evidence of material violations of the law within the organizations that they represent. An attorney’s failure to comply with these obligations will result in SEC-imposed civil penalties and disciplinary action. Recent federal …
Client Trust Account Fraud: Analyzing State, Federal, And International Rules And Regulations While Developing Effective Solutions For Prevention, Daniel H. Smith
Client Trust Account Fraud: Analyzing State, Federal, And International Rules And Regulations While Developing Effective Solutions For Prevention, Daniel H. Smith
Daniel H Smith
CLIENT TRUST ACCOUNT FRAUD: ANALYZING STATE, FEDERAL, AND INTERNATIONAL RULES AND REGULATIONS WHILE DEVELOPING EFFECTIVE SOLUTIONS FOR PREVENTION Daniel Hooper Smith Abstract Client Trust Account Fraud: Analyzing State, Federal, and International Rules and Regulations While Developing Effective Solutions for Prevention examines client trust accounts and fiduciary duties associated with them and categorizes three types of client trust account fraud (“CTA fraud”). In addition, this Article compares four states’ client trust account rules and regulations and discusses how fraudsters attempt to circumvent the law in each jurisdiction. This Article then analyzes state, federal, and international agency regulation with respect to client …
How To Sculpt A Settlement And Notice Program That Will Minimize Scrutiny And Professional Objectors, Cassie L. Needels
How To Sculpt A Settlement And Notice Program That Will Minimize Scrutiny And Professional Objectors, Cassie L. Needels
Cassie L Needels
This article is focused on the importance of developing a settlement and notice program that will minimize scrutiny and professional objections, as well as how to implement a settlement and notice program accordingly. By using readily available resources, avoiding hot button indicators, effectively reaching the class, including all required information in the notice documents, avoiding legalese in all class communications, and allowing adequate time for class members to respond, you should be able to overcome judicial scrutiny and minimize the number of objections. Written by Judicially-recognized legal notification experts and a settlement administration expert with an extensive background as an …