Comprised of experienced enforcement and investigations lawyers as well as former judges, our team conducts high-quality internal investigations for boards of directors, board committees, corporations and individuals in connection with financial services regulatory and compliance matters, government enforcement actions and allegations of workplace harassment and discrimination.
Financial Services Investigations
We conduct sensitive and complex investigations relating to, among other matters, public company accounting practices, insider trading, Foreign Corrupt Practices Act and anti-bribery/anti-money laundering compliance, consumer fraud and sales and trading compliance. Our experience extends to conducting investigations in response to putative whistleblowers. We regularly counsel our clients regarding potential self-reporting obligations.
Government Enforcement Actions
We advise clients that are subject to civil and criminal investigations, including those brought by state attorneys general and multi-jurisdictional investigations. Our team, which includes a former New York State Attorney General, a former DOJ prosecutor and DOJ’s first Special Counsel for Financial Institutions Crime, represents clients in alleged federal racketeering, securities violations, tax evasion, bribery, fraud, corruption, obstruction of justice, money laundering, environmental offenses and customs violations.
Workplace Harassment and Impropriety
Several high-profile incidents have highlighted the need for organizations to have strong preventative measures in place and a comprehensive policy for receiving and responding to claims of workplace misconduct. Leveraging our extensive experience in this area, our team, including a former federal judge who headed the 2017 New York State Bar report on the role of women in the law, conducts high-quality, tailored investigations, provides customized anti-harassment and anti-discrimination training, advises on best practices and protocols for receiving and investigating claims, helps implement workplace policies prohibiting harassment and discrimination and represents clients in enforcement actions and civil and criminal proceedings.
Government Contract-Related Investigations
We assist clients in conducting internal investigations relating to procurement contracts, whether self-initiated or in response to a government audit, inquiry, subpoena, or claim. This includes analyzing obligations under the mandatory disclosure rules applicable to federal contractors.
Related Files & Links
In The Spotlight
March 20, 2018|Law360Shira Scheindlin and Howard Lavin featured in “Attys Wary Of Zero-Tolerance Policies After #MeToo”
March 20, 2018|Press ReleaseStroock Panel Examines Corporate Responsibility in the #MeToo Era
January 28, 2018|Law360Shira Scheindlin quoted and Robert Abrams mentioned in "How #MeToo Is Changing Internal Investigations"
Lawyers In This Group
|James L. Bernard||Partner||New York||
James L. Bernard
|Daniel N. Bertaccini||Special Counsel||New York||
Daniel N. Bertaccini
|Elizabeth C. Carter||Associate||New York||
Elizabeth C. Carter
|Chelsea L. Goulet||Associate||New York||
Chelsea L. Goulet
|David J. Kahne||Special Counsel||New York||
David J. Kahne
|K. Thomas Ko||Partner||New York||
K. Thomas Ko
|Howard S. Lavin||Partner||New York||
Howard S. Lavin
|John R. (''Jake'') Loftus||Partner||Los Angeles||
John R. (''Jake'') Loftus
|Stephen J. Newman||Partner||Los Angeles||
Stephen J. Newman
|Arjun P. Rao||Partner||Los Angeles||
Arjun P. Rao
|Shira A. Scheindlin||Of Counsel||New York||
Shira A. Scheindlin
|Joshua Sohn||Partner||New York||
|Julia B. Strickland||Partner||Los Angeles||
Julia B. Strickland
|Quyen T. Truong||Partner||Washington, DC||
Quyen T. Truong
|Daniel J. Yost||Associate||New York||
Daniel J. Yost