We represent financial services clients in federal grand jury investigations and federal prosecutions throughout the United States as well as in state and local proceedings. We also represent clients in enforcement investigations and proceedings initiated by the Securities and Exchange Commission (SEC), New York Stock Exchange (NYSE), Federal Reserve and Federal Trade Commission (FTC).
Clients wishing to conduct internal investigations also rely on our experience and capabilities. We help them investigate a wide variety of issues and often succeed in heading off a criminal prosecution or lawsuit before it gains traction. We handle a range of issues, including:
- Whistleblower and other allegations of corporate financial misconduct and mismanagement and securities fraud
- Allegations made by disgruntled shareholders
- Allegations made by government agencies prior to formal criminal or regulatory enforcement actions being taken
On behalf of audit committees, special board committees, entire boards or general counsel, we cover every angle involved in a particular set of circumstances, including:
- Gathering and analyzing all relevant documents and electronic data
- Interviewing senior management and employees
- Retaining relevant expert assistance
- Identifying information and testimony that lacks credibility
- Maintaining confidentiality where feasible
- Providing liability assessments and other reports
- Identifying potential defenses
- Mitigating damages