Duty to Report Employee Misconduct


CLE credits earned: 1 General Credit (WA 1 Law and Legal)

This CLE will cover employer’s duties and responsibilities in reporting the criminal conduct of their employees. We will also discuss the ethical considerations and best practices surrounding these issues, including best practices with an eye to minimizing misconduct at the outset.

Key topics to be discussed:

• The duty to report employee misconduct regarding sexually explicit images of children
• SEC and FINRA violations
• Wage and hour violations
• Unsafe workplaces

Date / Time: September 24, 2020

•   2:00 pm – 3:00 pm Eastern
•   1:00 pm – 2:00 pm Central
•   12:00 pm – 1:00 pm Mountain
•   11:00 am – 12:00 pm Pacific

Choose a format:

•   Live Video Broadcast/Re-Broadcast: Watch Program “live” in real-time, must sign-in and watch program on date and time set above. May ask questions during presentation via chat box. Qualifies for “live” CLE credit.
•   On-Demand Video: Access CLE 24/7 via on-demand library and watch program anytime. Qualifies for self-study CLE credit. On-demand versions are made available 5 business days after the original recording date and are view-able for up to one year.

Select your state to see if this class is approved for CLE credit.

Choose the format you want.


Original Broadcast Date: September 24, 2020

Mark G. Peters | Peters Brovner LLP
Mark Peters is the co-founder of Peters Brovner LLP, a NYC-based boutique litigation firm focusing on internal investigations, white collar/regulatory defense, civil litigation and campaign finance and election law. Mark represents institutional and individual clients in a wide range of litigations. Clients look to him for strategic advice on how to best manage a diverse array of matters in public and private entities of every type, and in situations where the entities’ reputation and dollars are at risk.

Prior to co-founding Peters Brovner, Mark served as Commissioner of the New York City Department of Investigation (DOI) from 2014 to 2018. While in this role, he supervised the 700-person law enforcement agency responsible for investigating corruption, waste, fraud and abuse by city agencies, city workers and private entities that do business with the city. As DOI Commissioner, Mark worked closely with all of the City’s major prosecutors’ offices to bring cases that resulted in the arrest of non-profit executives who stole City funds, corporate entities that falsified government documents and government employees who accepted bribes. During Mark’s tenure at the agency, DOI exposed false reporting of lead paint testing at NYCHA; the failure of the NYPD to properly investigate sexual assault; and fraud against Metro Plus, the City Health and Hospital’s insurance program. Upon departure from DOI, the New York Times Editorial Board wrote “the City has benefited from Mr. Peter’s tenure.” Mark now serves as CBS Channel 2’s Urban Affairs Expert. Before his time as Commissioner of DOI, Mark was a partner at an international law firm, Edwards Wildman Palmer from 2010 to 2014. He was also tasked with reviewing and reforming the New York Liquidation Bureaus’ agency practices as the Special Deputy Superintendent in Charge from 2007 to 2009. From 1999 to 2004, Mark worked in the New York State Attorney General’s Office as Chief of the Public Integrity Unit and Deputy Chief of the Civil Rights Bureau. He also worked as a Children’s Rights, Inc., Senior Staff Attorney from 1995 to 1999. While in that role, he conducted investigations of various foster care systems throughout the United States. Early in his career, Mark tried cases, argued appeals and managed litigation on behalf of various state agencies. Mark graduated from the University of Michigan Law School, J.D., magna cum laude and received his B.A. magna cum laude from Brown University. O: (917) 639-3270 E: mpeters@petersbrovner.com

Lesley A. Brovner | Peters Brovner LLP
Lesley Brovner is the co-founder of Peters Brovner LLP, a NYC-based boutique litigation firm focusing on internal investigations, white collar/regulatory defense, civil litigation and campaign finance and election law. Lesley represents corporations and individual clients in a wide range of investigations. She regularly counsels’ clients facing crisis involving both legal and reputational risk. Her prior public service experience provides a unique perspective to help clients manage risk and handle regulatory issues.

Prior to co-founding Peters Brovner, Lesley Brovner served as First Deputy Commissioner of the New York City Department of Investigation (DOI) from 2014 to 2018. While in this role, Lesley directed complex criminal and civil investigations, oversaw the issuance of all agency reports and supervised DOI’s counsel’s office. As First Deputy Commissioner, Lesley worked on a regular basis with senior prosecutors and regulators at numerous city and state agencies. This work resulted in the prosecutions of corporations and nonprofits that engaged in fraudulent activity as well as city workers involved in a variety of corrupt schemes. Lesley personally directed several major investigations, including:
• • DOI’s Investigation into the City’s sale of Rivington House and whether the sale of that non-profit AIDS hospice was mismanaged or otherwise improperly influenced by contributors to the Mayor’s political campaign.
• • DOI’s year-long examination into the NYPD’s failure to properly investigate sexual assault. The investigation resulted in City Council legislation requiring changes in NYPD practices.
• • Multiple investigations of construction fatalities and other illegal conduct on construction sites. These investigations included work with the Construction Fraud Task Force which was jointly run by several of the City’s District Attorneys and DOI. Prior to working at DOI, Lesley was a prosecutor for almost two decades at the New York State Attorney General’s Office and the Queens District Attorney’s Office. During that time, she prosecuted numerous matters, including political corruption, consumer fraud, tax fraud, antitrust violations, social security fraud and the unlicensed practice of nursing and medicine. Lesley also has extensive appellate experience including before the New York State Court of Appeals. Finally, Lesley served as the Chief Compliance Officer for the New York State Liquidation Bureau. Lesley received her J.D. from American University, Washington College of Law, and her B.A. from New York University. O: (917) 639-3270 E: lbrovner@petersbrovner.com

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Many states allow for credit to be granted on a 1:1 reciprocal basis for courses approved in another mandatory CLE jurisdiction state. This is known as a reciprocity provision and includes the following states: AK, AR, HI, CT, FL, ME, MO, MT, ND, NH, NM, NJ, and NY. myLawCLE does not seek direct accreditation of live webinars or teleconferences in these states.

I. Federal Reporting Requirements 2:00-2:12

II. State General Criminal Reporting Requirements 2:12-2:24

III. Potential Liability for Failure to Report and “Willful Blindness” 2:24-2:36

IV. Minimizing Risks and Liability Strategies 2:36-2:48

V. Decreasing Risk of Claim Brought by Employees after Employers Report Their Crimes 2:48-3:00