Financial Incentivesfor Whistleblowing Lawyers?
The False Claims Act
& Dodd-Frank
Kathleen ClarkWashington University in St Louis
39th ABA National Conference on Professional Responsibility San Antonio30 May 2013
Intersectionof
Legal Ethics&
Law of Whistleblowing
Part I:
False Claims Act
False Claims Act
statutorysilence
5 cases
US ex rel Doe v X CorpED VA 1994
Vermont Agency Natl Res v US ex rel Stevens SCt 2000
Bury v Community Hospital of Central CalifCa5thApp 2002
US ex rel Repko v Guthrie ClinicMD PA 2008, 2011
US ex rel Fair Laboratory Practice Assoc v Quest SDNY 2011
LawyerSues
FormerClient
InternalWhistleblowing
Retaliation
US ex rel Doe v X Corp ED VA 1994
Vermont Agency Natl Res v US ex rel Stevens SCt 2000
Bury v Community Hospital Ca5thApp 2002
US ex rel Repko v Guthrie Clinic MD PA 2008, 2011
US ex rel Fair Laboratory Practice Assoc v Quest SDNY 2011
US ex rel Doe v X Corp ED VA 1994
Vermont Agency Natl Res v US ex rel Stevens SCt 2000
Bury v Community Hospital Ca5thApp 2002
US ex rel Repko v Guthrie Clinic MD PA 2008, 2011
US ex rel Fair Laboratory Practice Assoc v Quest SDNY 2011
US ex rel Doe v X Corp ED VA 1994
Vermont Agency Natl Res v US ex rel Stevens SCt 2000
Bury v Community Hospital Ca5thApp 2002
US ex rel Repko v Guthrie Clinic MD PA 2008, 2011
US ex rel Fair Laboratory Practice Assoc v Quest SDNY 2011
Confidentiality
$ confidentiality incentives > based on
contract
$ ? confidentiality incentives > based on
professional rules
$ confidentiality incentives < based on
professional rules
US ex rel Doe v X Corp ED VA 1994
Vermont Agency Natl Res v US ex rel Stevens SCt 2000
Bury v Community Hospital Ca5thApp 2002
US ex rel Repko v Guthrie Clinic MD PA 2008, 2011
US ex rel Fair Laboratory Practice Assoc v Quest SDNY 2011
US ex rel Doe v X Corp ED VA 1994
Vermont Agency Natl Res v US ex rel Stevens SCt 2000
Bury v Community Hospital Ca5thApp 2002
US ex rel Repko v Guthrie Clinic MD PA 2008, 2011
US ex rel Fair Laboratory Practice Assoc v Quest SDNY 2011
US ex rel Doe v X Corp ED VA 1994
Vermont Agency Natl Res v US ex rel Stevens SCt 2000
Bury v Community Hospital Ca5thApp 2002
US ex rel Repko v Guthrie Clinic MD PA 2008, 2011
US ex rel Fair Laboratory Practice Assoc v Quest SDNY 2011
US ex rel Doe v X Corp ED VA 1994
Vermont Agency Natl Res v US ex rel Stevens SCt 2000
Bury v Community Hospital Ca5thApp 2002
US ex rel Repko v Guthrie Clinic MD PA 2008, 2011
US ex rel Fair Laboratory Practice Assoc v Quest SDNY 2011
US ex rel Doe v X Corp ED VA 1994
Vermont Agency Natl Res v US ex rel Stevens SCt 2000
Bury v Community Hospital Ca5thApp 2002
US ex rel Repko v Guthrie Clinic MD PA 2008, 2011
US ex rel Fair Laboratory Practice Assoc v Quest SDNY 2011
US ex rel Doe v X Corp ED VA 1994
Vermont Agency Natl Res v US ex rel Stevens Attorneys
“should be encouraged” to use qui tam law suits
to expose fraudMD PA 2008, 2011
US ex rel Fair Laboratory Practice Assoc v Quest
SDNY 2011
US ex rel Doe v X Corp ED VA 1994
Vermont Agency Natl Res v US ex rel Stevens SCt 2000
Bury v Community Hospital Ca5thApp 2002
US ex rel Repko v Guthrie Clinic MD PA 2008, 2011
US ex rel Fair Laboratory Practice Assoc v Quest SDNY 2011
US ex rel Doe v X Corp ED VA 1994
Vermont Agency Natl Res v US ex rel Stevens SCt 2000
Bury v Community Hospital Ca5thApp 2002
US ex rel Repko v Guthrie Clinic MD PA 2008, 2011
US ex rel Fair Laboratory Practice Assoc v Quest SDNY 2011
US ex rel Doe v X Corp ED VA 1994
Vermont Agency Natl Res v US ex rel Stevens SCt 2000
Bury v Community Hospital Ca5thApp 2002
US ex rel Repko v Guthrie Clinic MD PA 2008, 2011
US ex rel Fair Laboratory Practice Assoc v Quest SDNY 2011
Part II:
Dodd-Frank
- voluntarily provides- original information- successful enforcement action- monetary sanctions > $1 million
Dodd-Frank Whistleblowers
Dodd-Frank
W petitions S.E.C.
False Claims ActW = plaintiff
Dodd-Frank
statutoryexclusions:
DoJlaw enforcement
Dodd-Frank
statutorysilence
re: lawyers
Dodd-Frank
SECregulations
re: lawyers
Dodd-Frank SEC regs
Can’t use information-subject to A-C privilege or-gained thru legal representation . . . unless . . .
Dodd-Frank SEC regs
. . . unless permitted by: - applicable state professional rules - SEC SOX regulation - “otherwise”
Dodd-Frank
variation state-to-state
confidentiality exceptionsfor client fraud
Dodd-Frank
SECannounced1st award
August, 2012
Op-ed:
Kathleen ClarkWhistleblowing Incentives for Lawyers?
NATIONAL LAW JOURNAL (Sept. 3, 2012)
Financial Incentivesfor Whistleblowing Lawyers?
The False Claims Act
& Dodd-Frank
Kathleen ClarkWashington University in St Louis
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