Internal Investigations

Internal investigations are an indispensable tool for companies to identify possible violative conduct, reveal undetected issues and minimize possible regulatory scrutiny and civil exposure.  Drawn from our in-depth knowledge of the securities industry and its practices, and years spent working as in-house counsel, we are particularly suited to structuring and conducting discreet and effective internal investigations.

The firm’s lawyers have handled numerous internal investigations that have focused on insider trading, fraud, sales practice misconduct, anti-money laundering, breaches of fiduciary duty, reviews of internal controls, possible violations of securities rules and record retention.  With our advice and counsel, our clients are able to reduce future risks by improving their internal controls and compliance programs.