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Corporate Internal Investigations and Defense of Government & Regulatory Enforcement Actions

Investigations by federal and state governmental agencies often compel businesses to conduct internal investigations into allegations of potential wrongdoing. Any company finding itself enmeshed in a governmental investigation requires sound, candid, and clear guidance to successfully navigate the process. FBR leverages the substantial experience of its partners as state and federal prosecutors to handle all phases of internal investigations, including promoting corporate compliance, and coordinating with government agencies to produce swift, cost-effective resolutions. The Firm also routinely develops and executes comprehensive strategies to defend against governmental enforcement actions, including proceedings brought by FINRA, the SEC, or state agencies.

Representative Cases:

  • Represented a senior officer of a publicly traded company in connection with a class action and an SEC investigation that resulted in a favorable settlement.
  • Represented an international corporation in connection with an investigation conducted by the SEC.
  • Conducted an internal investigation on behalf of an international clothing retailer that related to a potential probe by a state Attorney General.