Articles by Rachel Ablin, Esq.

Financial Services Firms Grapple with Disclosure Obligations in Wake of #MeToo

Allegations of sexual harassment or other workplace misconduct must be taken seriously in any business. For broker-dealers and other businesses regulated by the Financial Industry Regulatory Authority (FINRA) or the Securities and Exchange Commission (SEC), thorough investigations are a must. However, financial services firms must also be deliberate about how they choose to disclose the results of such investigations, being ever aware of the risk of defamation lawsuits from the targets of such investigations.

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CBS Working with Outside Counsel to Investigate Sexual Harassment Allegations

In one of the latest incidents in a recent string of sexual harassment allegations against high-ranking corporate executives, Leslie “Les” Moonves – the CEO of CBS Corporation (CBS) – is facing accusations that he sexually harassed six women with whom he had business relationships. The CBS board is investigating the claims and has retained outside counsel to ensure independence.

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Employers Should Take Bullying Claims as Seriously as Harassment Claims

The #MeToo movement has significantly increased recognition of, and simulated a national conversation about, workplace sexual harassment over the last year. However, employers should also remember there are other serious types of employment misconduct that can have repercussions for the organization if ignored. One of those issues is bullying.

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Factors To Consider When Using Internal Investigators

When choosing an investigator or team to look into alleged workplace misconduct, organizations must determine whether to use internal resources or to bring in third party investigators from outside the company. When using internal personnel to conduct interviews, gather evidence and make recommendations, companies can benefit from the investigator’s in-depth knowledge of the organization. However, relying on in-house staff to make recommendations also comes with some potential pitfalls that could be avoided by using an external third party.

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