Celesq® Attorneys Ed Center

Up the Ladder Reporting – Counsel’s Ethical and Legal Obligations for Addressing Potential Violations by Management

Program Number: 3101

Program Date: 03/11/2021


This ethics program will discuss a lawyer’s legal and ethical obligations when he or she believes that a member of management is no longer fit to carry out company responsibilities or potentially violating company policy or the law. Drawing from real world examples, this program will ensure that both in-house and outside counsel understand their role and obligations under such circumstances and provide them with practical steps to navigate these complex situations. Participants will understand their applicable ethical duties under the Model Rules and the Sarbanes Oxley Act of 2002, including when or if a “noisy withdrawal” is required; learn when and under what circumstances they can or should report to the Board or other governing body; and the role of internal investigations conducted by outside counsel, including potential risks and complexities for in-house counsel who may have been involved in the underlying fact pattern.

$95.00Audio Tape Add to Cart

Available in states

California, Colorado Eligible, Florida, Georgia, New Jersey Eligible, New York, Texas Self Study

Credit Information

50 minute credit hour - 1.0 General CLE credit, based on a 50-minute credit hour, including 1.0 credit Ethics
60 minute credit hour - 1.0 General CLE credit, based on a 60-minute credit hour, including 1.0 credit Ethics

State Program Numbers


Erik R. Anderson, Esq.

Post & Schell P.C.

Erik R. Anderson has a broad litigation practice that focuses on advising and representing clients confronted by complex, high-stakes challenges at the intersection of law, government, and public policy—often under the glare of intense media, political, or reputational and professional scrutiny. His clients include regulated corporations, high-ranking public officials and employees, law firms, attorneys, judges, lobbyists, and other state-licensed professionals. With substantial experience operating in the media and public relations arenas, Mr. Anderson has represented elected or appointed officials—on both sides of the aisle—from each branch of Pennsylvania state government and each Chamber of the Pennsylvania General Assembly in criminal, civil, or administrative proceedings.

Mr. Anderson works closely with employers in defending employment actions in state and federal courts and administrative agencies involving claims of discrimination, sexual harassment, retaliation, wrongful termination, and employment-related torts. He also represents management in labor relations matters, including collective bargaining, grievance and interest arbitrations, and unfair labor practice cases. Mr. Anderson provides creative counsel on a full spectrum of labor and employment issues, including investigations, employee performance management, and disciplinary strategies, severance and non-compete agreements, and development and implementation of personnel policies.

Mr. Anderson also defends companies and individuals in connection with government investigations, regulatory enforcement proceedings, and federal and state grand jury investigations. A substantial focus of Mr. Anderson’s white collar practice is the litigation of high-profile public corruption matters. And drawing on his time working in the upper reaches of state government and in private practice, Mr. Anderson has deep experience interacting with media and crafting prompt and effective communication strategies.

In his legal profession and ethics practice, Mr. Anderson represents attorneys and law firms in responding to ethics inquiries and defending against prosecutions brought by the Office of Disciplinary Counsel of the Disciplinary Board of the Supreme Court of Pennsylvania. In addition, Mr. Anderson defends judges before the Judicial Conduct Board. He also advises on a wide range of ethics issues including conflicts of interest, attorney misconduct, fees, firm organization, unauthorized practice of law, and defending and prosecuting disqualification actions.

In commercial matters, Mr. Anderson represents both plaintiffs and defendants in connection with complex commercial disputes in both federal and state courts involving a variety of claims, including breach of fiduciary duty, breach of contract, breach of representations warranties, misrepresentation, and fraud.

Prior to joining Post & Schell, Mr. Anderson practiced for five years as the lead attorney in the Harrisburg office of a boutique litigation firm. Before that, Mr. Anderson spent nearly a decade in government service, where he held senior-level, in-house counsel positions with the Pennsylvania Office of Attorney General and the Pennsylvania General Assembly.


Carolyn H. Kendall, Esq.

Post & Schell P.C.

Carolyn H. Kendall is a Principal in the Internal Investigations & White Collar Defense practice group of Post & Schell, P.C. in Philadelphia, PA. She conducts internal investigations, counsels and represents companies and individuals subject to government investigation, and defends clients in related litigation. She is a regular contributor to several publications, including Business Crimes Bulletin and the Pennsylvania Association of Criminal Defense Lawyers’ (PACDL) For the Defense. She is also the lead author of Post & Schell’s White Collar Posts blog, her posts are available here: https://www.postschell.com/insights/white-collar-posts