Internal Investigations

Overview
Civil Litigation
White Collar & Investigations
Regulatory & Compliance

Internal investigations have become an essential part of good governance for public and private companies both large and small. Whether allegations of wrongdoing arise from a government investigation, a whistleblower, or a civil lawsuit, it is incumbent upon companies to identify the legal and business risks posed by such allegations and to respond to them in a responsible and effective manner.

Zuckerman Spaeder LLP has extensive experience conducting internal investigations. We strive to conduct our investigations in a manner that both meets our clients’ objectives and is efficient and cost-effective.  As a boutique firm, we have the capacity to investigate allegations quickly, discreetly, and with minimum disruption, and to report our findings in a rigorous and reliable manner. Consistent with our overall philosophy of providing legal services, we staff our investigations based on the client’s needs and with an eye towards containing costs by assigning lawyers whose experience and skill level are commensurate with the tasks that the investigation demands.

We draw from the experience of our many attorneys who have government experience, having served as prosecutors and in senior positions in the U.S. Department of Justice, federal agencies, Congress, and the New York State Attorney General’s Office. They apply that experience in conducting internal investigations for companies across a variety of industries regarding a wide range of issues. 

Experience Highlights

With the implementation of the Dodd–Frank Wall Street Reform and Consumer Protection Act and other regulatory tools in the wake of the international economic crisis, public companies are now held to a higher standard of self-governance. Corporations are obligated to respond quickly to all complaints and irregularities or face exposure to not only regulatory enforcement but also civil litigation. Whether their goals are to respond to anonymous whistleblower complaints, get ahead of threatened civil suits, or perform due diligence in advance of mergers, acquisitions, or other major business initiatives, Zuckerman Spaeder provides comprehensive investigative reports and advice that officers and directors need to make sound business decisions.

Experience

Zuckerman Spaeder’s national reputation as a leading white collar firm provides us with the bona fides to conduct internal investigations for public and private companies, both domestic and international, and to work with law enforcement, when appropriate, to resolve criminal or regulatory violations. We have completed internal investigations on behalf of financial institutions, health care companies, pharmaceutical companies, food makers, nonprofit organizations, and many other businesses. Our investigations have addressed such issues as insider trading, questionable payments, money laundering, corporate governance, health care fraud, violations of the False Claims Act and Foreign Corrupt Practices Act (FCPA), antitrust violations, accounting and financial fraud, wrongdoing by employees or subsidiaries, and books and records violations. In cases involving potential violations of criminal laws or regulations, we have communicated with prosecutors and regulators, when necessary, as part of our investigations work. 

Experience

In an ever more complicated regulatory environment, companies must be vigilant to their compliance obligations and respond quickly to correct oversights. We work with clients to identify and mitigate the risks of potential enforcement actions, heading off compliance problems whenever possible. We also understand how to work with regulators and how to craft successful resolutions of controversies.

Following the completion of internal investigations, our attorneys design and implement compliance programs, and provide business counseling and guidance. To help prevent future problems for a client, Zuckerman Spaeder, as part of our representation, will thoroughly assess the policies and procedures of the area under investigation. We create and execute effective internal compliance programs to address the risks under the governing laws.

Experience

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