AREAS: Internal Investigations
firm's partners have conducted internal investigations for public
and private companies and law firms, and are keenly aware of the
strategic and ethical issues that invariably arise in these matters.
Several of these matters have arisen out of whistleblower complaints.
have also counseled boards
of directors and special committees in connection with the conduct
of internal investigations. For example, we were recently successful
in having a shareholder derivative action dismissed on the basis
of the "business judgement rule" following a comprehensive
investigation by a public company's audit committee.
internal investigations we have handled involved wide-ranging issues,
including possible insider trading, stock option backdating, misappropriation
of assets, financial fraud and FCPA matters. For example, we are
currently conducting an internal investigation for a publicly held
company concerning possible conflicts of interest. Moreover, we
have represented corporate executives in many internal investigations
including those conducted by Audit Committee Counsel. We currently
represent senior corporate executives in connection with investigations
concerning FCPA and broker/dealer issues.
many years, one of our partners has been co-chairing PLI’s
annual program on Internal Investigations and speaks on the
subject at SIFMA’s Annual Law and Compliance Program.