We represent clients in government investigations by the Department of Justice (DOJ), Federal Trade Commission (FTC), Financial Industry Regulatory Authority (FINRA), and Securities and Exchange Commission (SEC) as well as in internal corporate investigations. Most all of these investigations require consideration of potential civil, criminal and regulatory issues, and we pride ourselves on providing thoughtful and accurate guidance for our clients.
Examples of our work:
- We represented a public company CFO who was subject to investigation by a Special Litigation Committee, the Department of Justice, and the Securities Exchange Commission with respect to Company transactions and the accounting for those transactions. We navigated our client through a maze of investigative and legal matters, advocating for and protecting his interests. We guided our client through the three overlapping processes to a successful resolution: a favorable summation of our client's conduct by the SLC and termination of regulatory matters as to him.
- We represented a high-ranking biotechnology executive who was subject to investigation by the Department of Justice with respect to trade secret issues. We guided our client through the DOJ process with respect to documents and interviews. Ultimately, the matter was terminated as to our client with no regulatory action taken.
- We represented the former CFO of a private investment fund in connection with an investigation by the Securities Exchange Commission with respect to investor interactions, the company's transactions, and accounting issues, we were hired to assist. We successfully guided our client through the process with respect to productions of documents and interviews, and the Commission declined to charge him while charging the fund and other executives.
- We represented a subsidiary of one of the world's largest medical device companies in connection with potential revenue recognition issues. We conducted an internal investigation of the facts, including identification and analysis of relevant documents as well as a series of interviews with Company employees to understand the facts pertinent to the revenue issues. Upon completion of the investigation, recommendations were made and accounting procedures strengthened. No litigation or unfavorable circumstances resulted from the process.
- We worked on behalf of a well-known closely held company in connection with threatened legal claims involving the owners that posed a critical risk to the company's reputation. After litigation commenced, we were retained as counsel to a litigation committee to investigate the facts and to evaluate the company's potential options and claims. We obtained a stay of litigation, thoroughly investigated the facts, and worked with our clients to resolve the litigation claims and other issues in an efficient manner resulting in no further disruption and harm to the company.