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March 2016 Archives

Qualified/Selective Representation


It seems that each week brings the announcement of another FCPA investigation being conducted by the SEC or DOJ. This week Alere Inc., a diagnostics test maker, said in an SEC filing that it had received a grand jury subpoena from the DOJ for documents relating to its sales practices on multiple continents. Alere's filed 8-K relating to such sales practices and "other matter related to the U.S. Foreign Corrupt Practices Act." I will bet the subpoena said a lot more than that but the lawyers figured that was enough disclosure for now. Nice though that they made any disclosure at all--some lawyers continue to think that a subpoena does not deserve an 8-K until it ripens into an enforcement action or an indictment. The company also said it would delay filing its annual report because of revenue recognition issues, so lots of apparent problems there.

Welcome to the SEC Whistleblower Blog

This is my first blog post to my SEC Whistleblower Blog. I will use the blog to note cases, ideas, and whistleblower opportunities, and to comment on various issues at the SEC, DOJ and other enforcement entities which may be relevant to whistleblowers. I may occasionally use it to "spout off" on issues that are of interest to me, and hopefully to my readers. So here we go....