Independent Internal Investigations
A whistleblower complaint, an SEC or other regulatory subpoena, a grand jury subpoena, an auditor’s identification of possible violations of law, or a criminal complaint each may lead to an internal investigation of a company. When an event triggers the investigation of possible misconduct at a publicly traded company or financial institution, its independent board committees, trustees, or management may require counsel that is not associated with the organization’s regular counsel.
We have extensive experience representing public companies, and their directors and officers, in internal investigations and the parallel civil, criminal, SEC, Attorney General, NYSE and NASD (now combined as FINRA) investigations and prosecutions that often accompany them. Our lawyers represent independent board committees, board members, and management of publicly traded companies, investment banks, broker-dealers, law firms, not-for-profit organizations, and other entities, in the U.S. and Europe. The investigations may involve allegations of securities or other financial fraud, such as accounting irregularities, revenue recognition issues, and insider trading; embezzlement, violations of the Foreign Corrupt Practices Act, student loan fraud, Medicaid fraud, money laundering, corporate waste, misuse of confidential information, conflicts of interest, and noncompliance with other laws and regulations. Often in such investigations, hard decisions need to be made and we ensure that our clients are provided with the means to make them.
