INDUSTRIES & PRACTICES

planning ahead

Government Enforcement & Corporate Investigations
HELPING CLIENTS NAVIGATE THE REGULATORY AND ENFORCEMENT ENVIRONMENT.

Overview

Public and private businesses exist in an environment of enhanced governmental scrutiny. We help clients develop appropriate compliance programs and safeguards and respond to possible enforcement actions, lawsuits and government investigations, all of which can be costly and intrusive.

Our Government Enforcement and Corporate Investigations Practice Group is comprised of experienced lawyers from offices around the world—including former senior federal and state prosecutors and regulators. Our Group helps our clients navigate complex, high-scrutiny environments efficiently and effectively, with minimal disturbance to their businesses and lives.

Our Group assists our clients in three primary ways: (1) preventing government investigations and enforcement actions by developing and maintaining innovative compliance programs and internal safeguards; (2) investigating potential problems internally and conducting due diligence before any governmental involvement arises, thereby managing enterprise and reputational risks; and (3) responding to government-initiated investigations and enforcement actions when they occur, whether in the civil, criminal or regulatory context.

A key advantage to conducting internal investigations through our Group is that our clients can take advantage of the attorney-client and work-product privileges, ensuring that most communications, advice and work product relating to their due diligence and internal investigations will remain protected if an external investigation or proceeding occurs.

We offer a number of informational resources which can be accessed below:

Prevent + -
Investigate + -
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Experience

Representative Matters
Some of the matters the members of our Government Enforcement and Corporate Investigations team have worked on include: 

  • Represented a globally-ranked investment company in numerous related investigations. Several investigations were commenced by the Office of Thrift Supervision, the NASD, the SEC and the Attorney General for the State of New York. Allegations included claims of late day trading and market timing of mutual fund shares. After an internal investigation, we obtained a very favorable settlement with the OTS without any repercussions for our client’s officers or directors and convinced the NASD, the SEC, and the State of New York to cede to the jurisdiction of the OTC. When our client was sued for damages in a multidistrict, consolidated class action, we obtained a dismissal of the complaint with prejudice.
  • Defended a high-profile CFO in a securities enforcement action. This investigation involved 10b-5 and other claims. We achieved a hung jury following a month-long trial and a favorable settlement of all claims without the CFO making any monetary payments.
  • Represented a large public company in connection with an SEC investigation following a financial restatement. After a three-year investigation and 25 days of testimony, we convinced the SEC to drop the matter.
  • Represented a national brokerage firm and investment bank for accused of mishandling client accounts. A state Commissioner of Securities sought extensive fines. After an internal investigation, we successfully negotiated with the State and achieved a very favorable settlement.
  • Internal Investigation. Conducted an internal investigation for a medical device company involving senior corporate officers and how they handled an internal investigation into alleged misconduct by senior executives at the company’s business unit in China.
  • Congressional Inquiry. Represented healthcare technology company in connection with Congressional inquiries and a subpoena from the House Committee on Oversight and Government Reform, House Energy and Commerce Committee and the Senate Finance Committee relating to the implementation of the Patient Protection and the Affordable Care Act on HealthCare.gov.
  • Insider Trading. Represented client in connection with investigation by the Securities and Exchange Commission into alleged insider trading violations. Investigation terminated with conclusion that no insider trading took place.  

Accolades

Contacts

RJ Zayed
Practice Group Chair

Industries & Practices

Cybersecurity, Privacy & Social Media
Government Contracts Counseling & Litigation
  • Anti-Corruption Group
  • Antitrust & Competition Law
  • Corporate Governance & Compliance
  • Cybersecurity, Privacy & Social Media
  • Government Contracts Counseling & Litigation
  • Health Transactions & Regulations
  • International Trade
  • National Security Law
  • Tax Controversy & Litigation
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