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Category Archives: Fraud
ChatGPT and Other AI Tools Use As Discoverable Evidence in Litigation and Government Investigations: What Business Leaders Must Know
Use of AI can have significant evidence, document retention, and other consequences for organizations and their legal exposure. Organizations in their leaders need to manage the use of AI to manage these risks and obligations. Continue reading
Posted in AI, Board of Directors, CEO, CFO, Compliance, Cyber, Director Liability, discrimination, Document Retention, E&O, Employee Benefits, Employment, Evidence, Fiduciary Responsibility, FinCEN, Fraud, Internal Controls, Labor Relations, management, Officers, Officers Liability, Performance Management, Regulatory Affairs, Risk Management, Securities, sentencing guidelines, Uncategorized, Workforce
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DOJ Civil Cyber-Fraud Initiative Pressures Federal Contractors & Grant Recipients To Tighten Cybersecurity Controls, Training & Other Safeguards
Federal contractors and grant recipients face heightened need to fix cyber security and data breach compliance as targeted by new Justice Department Civil Cyber-Fraud Initiative. Continue reading
Posted in bank secrecy act, Board of Directors, Compliance, Cyber, data breach, Director Liability, Fair Debt Collection Practices Act, Fair Debt Collections Act, Fraud, Government Contractor, Internal Controls, Labor Relations, Leadership, Officers, Officers Liability, patriot act, Performance Management, Privacy, Privacy, Uncategorized
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Live Nation & Radio Music License Committee Targeted In Justice Department Antitrust Activity
Justice Department entertainment industry enforcement action to protect ticketholders & competitors highlights new general antitrust enforcement activism Continue reading
Posted in antitrust, Compliance, Cyber, Data Security, Fair Debt Collection Practices Act, Fair Debt Collections Act, Fraud, Internal Controls, marketing, Privacy, Risk Management, Uncategorized
Tagged Compliance, Employer, Internal Controls, Live Nation, Radio, Risk Management, Ticketmaster
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Robocall Law Raises Fines, Tightens Requirements
Robocallers could be fined up to $10,000 and telephone and other voice providers will face more responsibility to identify and stop the burgeoning robocall epidemic under a bill passed by Congress and awaiting President Trump’s signature. The new rules offer … Continue reading
Appeals Court Rules Corporation Can’t Deduct Excise Tax Not Paid As Tax Deduction
Federal corporate taxpayers may not deduct as a cost of goods sold expense an excise tax expense that was never actually incurred or paid according the Federal Circuit Court of Appeals just-released ruling in Sunoco, Inc. v. United States, No. 2017-1402 (November 1, 2018). Continue reading
Posted in Board of Directors, CEO, CFO, Compliance, Cyber, data breach, Fraud, Leadership, Privacy, Tax, Uncategorized
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Protect Your Website & Website Data Against Cybersecurity Threats
US-CERT urges organizations and individuals to tighten website security Continue reading
Posted in Board of Directors, CEO, CFO, Compliance, Cyber, data breach, Fraud, Leadership, Privacy, Uncategorized
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IRS Warns About Refund E-Mail Scam
In an April 9 news release, the IRS identifies a new bogus email pretending to be from “IRS Refunds,” and containing a link that connects to a fake page where thieves try to steal personally identifiable information, such as Social … Continue reading
Posted in Board of Directors, CEO, CFO, Compliance, Cyber, data breach, Fraud, Leadership, Privacy, Uncategorized
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Take Your Preventive Medicine
Better planning and management can head off most but not all problems. Sometimes stuff happens even when you do everything right. Either way, better management usually minimizes the damage and makes it easier to clean up the mess. It’s never … Continue reading
Posted in Bankruptcy, Board of Directors, CEO, CFO, Compliance, Cyber, D&O, Data Security, Director Liability, E&O, Employee Benefits, Employment, ESOP, Fiduciary Responsibility, Fraud, Health Plans, Internal Controls, Labor Relations, Leadership, M&A, Officers, Officers Liability, Performance Management, Privacy, Reductions In Force, Reengineering, Retirement Plans, Risk Management, Shareholder Liability, Stock Plans, Tax, Teaming, Turnaround Management, Workforce Management
Tagged Bankruptcy, CFO, Compliance, directors liability, Employer, employment, ERISA, facebook, Federal Sentencing Guidelines, Fiduciary Liability, Fiduciary Responsibility, health plans, Human Resources, inspiration, Internal Controls, labor law, Leadership, officers liability, quotes, Risk Management, risk managmenet, Sarbanes-Oxley, social media, Sox
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Businesses Must Prepare To Respond For Potential Data Breach To Timely Meet Notice & Other Response Duties
Businesses that experience data breaches affecting customer banking credit card, tax, social security or certain other personal financial or other sensitive information like those reported by like Chipotle, Target, Home Depot and a growing multitude of other businesses generally bear a legal … Continue reading
Posted in Board of Directors, CEO, CFO, Compliance, Cyber, D&O, data breach, Data Security, Director Liability, E&O, Employee Benefits, Employment, Fiduciary Responsibility, Fraud, Health Plans, Internal Controls, Leadership, Officers, Officers Liability, Performance Management, Privacy, Retirement Plans, Tax
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Supreme Court Ruling Boosts Arbitration Agreements’ Enforcability
Employers and businesses should review their options to use arbitration and possible enhanced duty to arbitrate under arbitration agreements based on new SCOTUS Kindred Health decision. Continue reading
Posted in Arbitration, Board of Directors, CEO, CFO, Compliance, Data Security, Deferred Compensation Plans, Director Liability, Dispute Resolutuon, E&O, Employee Benefits, Employment, Fraud, Health Plans, Internal Controls, Labor Relations, M&A, Officers, Officers Liability, Performance Management, Privacy, Reductions In Force, Reengineering, Retirement Plans, Risk Management, Shareholder Liability, Stock Plans, Turnaround Management, Workforce Management
Tagged Arbitration, dispute resolution, health care
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Homeland Security Issues Urgent Cyber Warning To US Businesses
U.S. agencies are warning U.S. businesses to batten down their cyber security defenses to guard against a WannaCry ransomware cybersecurity threat sweeping the Globe. Continue reading
Posted in Board of Directors, CEO, CFO, Compliance, D&O, Data Security, Director Liability, Director Liabiloity, E&O, Employee Benefits, Employment, Fiduciary Responsibility, Fraud, Internal Controls, Leadership, Officers, Officers Liability, Privacy, Risk Management, Shareholder Liability, Uncategorized
Tagged Cyber Security, Data security
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Data Breach & Cyber Securities & Investor Risk Management
Corporations and their leaders to add reviewing prospectus and investor cyber security and data breach disclosures to their data breach and cyber security risk management and response to do lists help guard against post event shareholder claims and regulator investigations. … Continue reading
Posted in Board of Directors, CEO, CFO, Compliance, D&O, Data Security, Director Liability, Director Liabiloity, E&O, Employee Benefits, Employment, Fiduciary Responsibility, Fraud, Internal Controls, Officers, Officers Liability, Risk Management, Shareholder Liability, Turnaround Management, Uncategorized
Tagged Fiduciary Liability, Officers and Directors Liability, Securities, Shareholder, Shareholder Derivative Claims
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10 Practical Pointers To Use Law To Better Strengthen The Legal Defensibility Of Your Business & Its Leaders
Businesses and their leaders struggling to managing the ever-changing and constantly growing regulatory and other legal risks inherent in operating a business in today’s litigation and enforcement-charged environment often miss invaluable opportunities by failing to take certain basic steps that strengthen their liability defenses and the effectiveness of their risk management and compliance efforts.
While each organization and leader needs to carefully tailor its organizational risk management and compliance programs to meet the unique needs and challenges of its operations, all risk management and compliance efforts generally should incorporate and operate on at least each of the following 10 Corporate Governance processes:
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Posted in Bankruptcy, Board of Directors, CEO, CFO, Compliance, D&O, Data Security, Deferred Compensation Plans, Director Liability, Director Liabiloity, Employee Benefits, Employment, Fiduciary Responsibility, Fraud, Health Plans, Internal Controls, Labor Relations, M&A, Officers Liability, Privacy, Reductions In Force, Reengineering, Retirement Plans, Risk Management, Shareholder Liability, Stock Plans, Tax, Turnaround Management
Tagged Attorney-Client Privilege, Board of Directors, CEO, CFO, Compliance, Compliance Plan, Corporate Compliance, Corporate Governance, Fiduciary Liability, General Counsel, Internal Control, Risk, Risk Management
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Money Services Business Pays $45K CMP For Violating BSA Reporting Requirements
Mian, Inc., doing business as Tower Package Store, a money services business (MSB) is learning an expensive of the risks of failing to report cash transactions and other anti-money laundering (AML) requirements of the Bank Secrecy Act (BSA). It’s paying … Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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FFI List Search and Download Tool Added To FATCA Website
The FFI List Search and Download Tool located on the FATCA Website is now available. Use the Search and Download Tool to find out if a Foreign Financial Institution (FFI) has registered. Download an entire list of Financial Institutions or … Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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June 16 Deadline Nears for Taxpayers Living Abroad; June 4 IRS Webinar Can Help Those Reporting Foreign Accounts
Taxpayers abroad qualifying for an automatic two-month extension must file their 2013 federal income tax returns by Monday, June 16, according to the Internal Revenue Service. The June 16 deadline applies to U.S. citizens and resident aliens living overseas, or … Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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Justice Department ADA, Fair Housing Disability Discrimination Settlement with Design Professionals Highlights Growing Disability Discrimination Exposures
A settlement announced May 16, 2013 reminds U.S. housing and other businesses of their growing exposure to disability discrimination claims. Justice Department Nails Architects & Engineers For Disability Discrimination On May 16, 2013, the Justice Department announced a $865,000 settlement … Continue reading
Disability Exposures Big US Business Risk; New DOD App Helps ID Resources
Businesses and individuals looking to find solutions to help accommodate persons with disabilities may find a new free app for Apple Devices from the Department of Defense (DOD) Computer/Electronic Accommodations Program helpful. The new application now available in the iTunes App store … Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Disability Discrimination, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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Personal Consumer Information Protection in Hospital/Healthcare Setting At HIMSS November 11
Stamer Speaks on “PCI In the Hospital/Healthcare Setting” on 11/1 in LA Cynthia Marcotte Stamer will speak on “PCI In The Hospital/Healthcare Setting” at the Privacy and Security Forum in Los Angeles, CA on Thursday, November 1. About The Program … Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, Data security, directors liability, Disability Discrimination, Employer, employment, facebook, FACTA, Federal Sentencing Guidelines, health care, HIPAA, Internal Controls, labor law, linkedin, NLRB, officers liability, PCI, personal consumer information, Privacy, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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Companies, Officers, Directors, Fiduciaries & Vendors Urged To Confirm ERISA Credentials & Bonding For Internal Staff, Plan Fidiciaries, Vendors Dealing With Benefits
Businesses sponsoring employee benefit plans and officers, directors, employees and others acting as fiduciaries with respect to these employee benefit plans should take steps to confirm that all of the appropriate fiduciary bonds required by the Employee Retirement Income Security Act of … Continue reading
IRS Shares Model Section 83(b) Election Language; Execs & Companies Should Use Care When Handling Tax, Other Compensation Matters
New model notice to help Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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Record $10M Plus Housing Disability Discrimination Settlement Shows Disability Exposures Big US Business Risk
A $10,250,000 settlement announced by the Justice Department today (June 25, 2012) with JPI Construction L.P. (JPI) and six other JPI firms is the largest-ever disability-based housing discrimination settlement discriminated. The settlement resolves Justice Department charges the JPI and its affiliates illegally discriminated on the … Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Disability Discrimination, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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Obama’s Comments Remind Businesses Of Rising Disability Discrimination Enforcement Risks On Olmstead Anniversary
Statements made today (June 22, 2012) by the Obama Administration confirm that U.S. businesses face a continuing and growing need to be on guard to defend against potential disability discrimination liabilities.
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Disability Discrimination, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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June 30 Deadline To Report Foreign Bank and Financial Account Information Looming
Got a foreign bank account? You may need to get moving to avoid missing an important reporting deadline on June 30.
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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Landlords, Lenders & Other Businesses Face Growing Exposures For Failing To Accommodate Special Needs Of Customers
Businesses should take steps to make sure that their business properties, operations and people are properly prepared to meet the special needs of customers and other persons with disabilities, language restrictions or other protected status requiring accommodation in light of the growing emphasis of the Obama Administration on enforcing disability discrimination laws.
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, discrimination, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, real estate, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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Georgia Manufacturer Requiring Excessive I-9 Work Eligibility Documentation Nailed For Illegal Discrimination
The Justice Department’s December 30, 2011 announcement of its negotiation of a settlement with small Georgia rug manufacturer Garland Sales Inc. (Garland) shows all businesses run big risks for violating Federal Civil Rights and other employment discrimination laws. Careful processes and procedures to balance compliance with I-9 documentation rules and exposures to discrimination charges.
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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Record-Breaking Countrywide Settlement Highlights Rising Exposures of US Businesses To Discrimination Prosecution
The Obama Administration sent another sharp reminder to U.S. businesses about their growing exposure to prosecution for illegal discrimination practices when it filed its largest residential fair lending settlement in history this week.
The latest in a stream of discrimination enforcement actions taken by the Obama Administration against U.S. businesses for alleged violations of U.S. civil rights and other discrimination laws, the settlement agreement announced December 21, 2011 provides for payment of $335 million in compensation to the more than 200,000 qualified African-American and Hispanic borrowers that Federal officials allege were victims of the widespread pattern or practice of illegal discrimination against qualified African-American and Hispanic borrowers by Countrywide Financial Corporation and its subsidiaries (Countrywide) while Countrywide served as one of the nation’s largest single-family mortgage lenders and originated more than 4 million residential mortgage loans. Bank of America now owns Countrywide.
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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IRS Releases Guidance on Foreign Financial Asset Reporting
The Internal Revenue Service in coming days will release a new information reporting form that taxpayers will use starting this coming tax filing season to report specified foreign financial assets for tax year 2011. US businesses with foreign assets or accounts need … Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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New School Racial Accommodation Guidance Gives Important Insights For Schools & Other Organizations On Obama Administration Affirmative Action Enforcement
Race One Of Many Enforcement Priorities On Administration Agenda Schools as well as U.S. private businesses and governmental agencies generally should examine two new guidance documents available here detailing what voluntary affirmative action and racial integration options that the Obama … Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged affirmative action, Compliance, directors liability, education law, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, public education, race discrimination, Risk Management, Sarbanes-Oxley, school, social media, Sox, unfair labor practices, union
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Justice Department Landlord Suit Shows Businesses Face Rising Disability Discrimination Enforcement Risks
DOJ Sues Another Landloard For Disability Discrimination Latest Action Shows Obama Justice Department Aggressively Enforcing Discrimination Laws The Justice Department on November 23, 2011 sued the University of Nebraska at Kearney (UNK), the Board of Regents of the University of … Continue reading
Posted in Bankruptcy, CEO, D&O, Director Liabiloity, Employment, Fiduciary Responsibility, Fraud, Internal Controls, M&A, Officers, Reengineering, Shareholder Liability, Tax, Uncategorized
Tagged Compliance, directors liability, Employer, employment, facebook, Federal Sentencing Guidelines, Internal Controls, labor law, linkedin, NLRB, officers liability, Risk Management, Sarbanes-Oxley, social media, Sox, unfair labor practices, union
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Cynthia Marcotte Stamer
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