SEC and False Claims Act Retaliation Landmines

Rachel V. Rose
Rachel V. Rose | Rachel V. Rose – Attorney at Law, PLLC

Ms. Rose has a unique background, having worked in many different facets of healthcare, securities, cybersecurity, as well as international law and business throughout her career.

On-Demand: May 3, 2024

2 hour CLE

On-Demand Video

Receive access to recorded class and earn self-study credit. Recording is made available 5 business days after live broadcast.

Program Summary

As the U.S. Department of Labor states, “[r]etaliation occurs when an employer (through a manager, supervisor, administrator or directly) fires and employee or takes any other type of adverse action.” Retaliation may also occur against a contractor. Whistleblowers in particular have unique recourse under the U.S. Securities and Exchange Commission’s Dodd-Frank Whistleblower Program and under the False Claims Act. What forms does retaliation take, is it against public policy, and how does it vary within the context of Dodd Frank and the False Claims Act? In typical lawyer fashion, the answers are that nuances exist and it depends. The purpose of this webinar is to explain the differences, highlight case law and enforcement actions, and provide lawyers with suggestions that they can, in turn, integrate into client conversations on both sides of the aisle.

Key topics to be discussed:

  • Learn the differences between the Dodd Frank and the False Claims Act’s retaliation provisions
  • Appreciating the legal landscape of both laws
  • Glean suggestions to integrate into client conversations

Closed-captioning available

Speakers

Rachel-V.-Rose_Principal-with-Rachel-V.-Rose-–-Attorney-at-Law,-P.L.L.C.Houston,-TX_myLawCLERachel V. Rose | Rachel V. Rose – Attorney at Law, PLLC

Rachel V. Rose, JD, MBA is a Principal with Rachel V. Rose – Attorney at Law, P.L.L.C. (Houston, TX)

Ms. Rose has a unique background, having worked in many different facets of healthcare, securities, cybersecurity, as well as international law and business throughout her career. For nearly a decade, her practice has focused transactional, compliance, and litigation matters related to cybersecurity, health care, securities, and Dodd-Frank/False Claims Act whistleblower claims. Ms. Rose worked on Capitol Hill when HIPAA passed in 1996 and worked at HHS in 2009 when the HITECH Act was being implemented.

In addition to being extensively published and a sought-after presenter and quoted expert, Ms. Rose holds an MBA with minors in healthcare and entrepreneurship from Vanderbilt University, and a law degree from Stetson University College of Law, where she graduated with various honors, including the National Scribes Award and The William F. Blews Pro Bono Service Award.

Ms. Rose is licensed in Texas and is a Fellow of the Federal Bar Association. Currently, she is the Chair of the Federal Bar Association’s Government Relations Committee, a board member of the Federal Bar Association’s Qui Tam Section, the co-editor of the American Health Lawyers Association’s Enterprise Risk Management Handbook for Healthcare Entities (2nd Edition), as well as a co-author of the ABA’s books The ABCs of ACOs and What Are International HIPAA Considerations?

She has been named consecutively to the Texas Bar College, the National Women Trial Lawyers Association’s Top 25, Houstonia Magazine’s Top Lawyers (healthcare), the National Trial Lawyers Association’s Top 100, as well as 1st Healthcare Compliance’s 2019 Top Presenter. Ms. Rose is also an Affiliated Member with the Baylor College of Medicine’s Center for Medical Ethics and Health Policy, where she teaches bioethics.

Federal Court Admissions: Supreme Court of the United States, CO, DC, SDTX, NDTX, EDTX and WDTX.

Agenda

I. Public Policy and Retaliation in the Context of Securities Law and the False Claims Act | 2:10pm – 2:30pm

II. Dodd-Frank Act, Retaliation and Enforcement Actions | 2:30pm – 2:50pm

III. False Claims Act, Retaliation and Case Law | 2:50pm – 3:10pm

Break | 3:10pm – 3:20pm

IV. Common Questions, Scenarios, and Answers Presented on Different Slides | 3:20pm – 3:45pm

V. Compliance, Contract, and Employee Handbook Considerations | 3:45pm – 4:05pm

VI. Conclusion | 4:05pm – 4:20pm

Credits

Alaska

Approved for CLE Credits
2 General

Our programs are CLE-eligible through Alaska's recognition of multi-jurisdictional reciprocity.
Alabama

Pending CLE Approval
2 General

Arkansas

Approved for CLE Credits
2 General

Our programs are CLE-eligible through Arkansas's recognition of multi-jurisdictional reciprocity.
Arizona

Approved for CLE Credits
2 General

California

Approved for CLE Credits
2 General

Colorado

Pending CLE Approval
2 General

Connecticut

Approved for CLE Credits
2 General

District of Columbia

No MCLE Required
2 General hours

Delaware

Pending CLE Approval
2 General

Florida

Reciprocity
2.5 General

Receive CLE credit in Florida via reciprocity
Georgia

Approved for CLE Credits
2 General

Hawaii

Approved for CLE Credits
2 General

Iowa

Pending CLE Approval
2 General

Idaho

Pending CLE Approval
2 General

Illinois

Approved for Self-Study Credits
2 General

Indiana

Approved for Self-Study Credits
2 General

Kansas

Pending CLE Approval
2 General

Kentucky

Pending CLE Approval
2 General

Louisiana

Pending CLE Approval
2 General

Massachusetts

No MCLE Required
2 General hours

Maryland

No MCLE Required
2 General hours

Maine

Pending CLE Approval
2 General

Michigan

No MCLE Required
2 General hours

Minnesota

Approved for Self-Study Credits
2 General

Missouri

Approved for CLE Credits
2.4 General

Mississippi

Pending CLE Approval
2 General

Montana

Pending CLE Approval
2 General

North Carolina

Pending CLE Approval
2 General

North Dakota

Approved for CLE Credits
2 General

Our programs are CLE-eligible through North Dakota’s recognition of multi-jurisdictional reciprocity. Section 1, Policy 1.14
Nebraska

Pending CLE Approval
2 General

myLawCLE reports attendance to Nebraska on each attorney's behalf for all programs. Please do not self-report.
New Hampshire

Approved for CLE Credits
2 General

As of July 1, 2014, the NHMCLE Board no longer provides pre- or post-approval of courses. Attendees must self-determine whether a program is eligible for credit, and self-report their attendance online at www.nhbar.org, based on qualification provisions of Rule 53.
New Jersey

Approved for CLE Credits
2.4 General

Our programs are CLE-eligible through New Jersey's recognition of multi-jurisdictional reciprocity, except for the courses required under BCLE Reg. 201:2
New Mexico

Approved for Self-Study Credits
2 General

Nevada

Approved for Self-Study Credits
2 General

New York

Approved for CLE Credits
2.4 General

Our programs are CLE-eligible through New York’s Approved Jurisdiction Group “A”.
Ohio

Pending CLE Approval
2 General

Oklahoma

Pending CLE Approval
2.5 General

Oregon

Pending CLE Approval
2 General

Pennsylvania

Approved for Self-Study Credits
2 General

Rhode Island

Pending CLE Approval
2.5 General

South Carolina

Pending CLE Approval
2 General

South Dakota

No MCLE Required
2 General hours

Tennessee

Approved for Self-Study Credits
2 General

Texas

Approved for CLE Credits
2 General

Utah

Pending CLE Approval
2 General

Virginia

Not Eligible
2 General hours Hours

Vermont

Approved for CLE Credits
2 General

Washington

Approved via Attorney Submission
2 Law and Legal

For CLE course attendance credit, Washington state attorneys must self-apply to the Washington State Bar. myLawCLE will supply Washington state attorneys with the self-application package and instructions on how to gain credit.
Wisconsin

Approved for Self-Study Credits
2 General

West Virginia

Pending CLE Approval
2 General

Wyoming

Pending CLE Approval
2 General

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