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Internal Investigations

Practice Overview

Employees, customers, competitors, and vendors have more avenues and incentives than ever to report suspected misconduct. When a company or board becomes aware of concerns that its employees, executives, or third parties may have violated the law, a focused, comprehensive internal investigation is critical in assessing its obligations and deciding what, if any, steps should be taken next. It is particularly important to have qualified and experienced outside counsel investigate these types of allegations when the results of that investigation may need to be disclosed to regulators and other agencies.   

Buckley Sandler attorneys have decades of experience in conducting internal investigations across a variety of industries, both anticipatory and in response to government inquiries or civil allegations. We regularly assist clients in scoping the investigation, collecting and preserving documents, determining appropriate decisions about employees involved, responding to whistleblower complaints, and assessing the advisability of self-reporting. We have built an industry-leading e-discovery practice that puts people, process, and technology to their best uses. We develop and propose meaningful and practical solutions tailored to the circumstances of each situation.  Working with our Workplace Cultural Compliance team, we also conduct internal investigations related to sexual harassment, gender inequality, and racial discrimination, providing an unbiased assessment of the situation and taking a pragmatic approach in devising an appropriate action plan, where necessary. 

Our team consists of attorneys with prior experience in senior positions in both federal and state government, including, the former Maryland Attorney General, the head of the U.S. Attorney’s Office for the Southern District of New York’s Civil Division, the SEC’s Chief of the Office of Market Intelligence and architect of the SEC’s whistleblower initiative, the former Executive Director of the White House Council on Women and Girls, the Deputy Chief Counsel of the OCC, the Director of the Enforcement and Compliance Division of the OCC, as well as several former criminal and civil division Assistant U.S. Attorneys. They rely upon their experience to anticipate the concerns and goals of government agencies and private litigants, and develop an investigation plan to respond in a credible and efficient manner.

Our attorneys also design, implement, and evaluate compliance policies and procedures to drive and measure organizational change, ensuring a response that meets regulatory and government expectations.  

We have conducted internal investigations on behalf of clients in a wide range of industries, including the following:

  • A publicly traded bank related to claims of Suspicious Activity Report improprieties
     
  • A publicly traded company examining allegations of noncompliance with rules and regulations governing when costs could be sought from the federal government
     
  • A major mortgage servicer regarding loss-mitigation practices
     
  • A major national bank assessing potential fraudulent conduct in loan origination
     
  • Affiliated homebuilder and lenders regarding sales, origination, servicing, and collection practices
     
  • A committee of the board of directors of a top regional bank into whistleblower allegations regarding anti-money-laundering compliance
     
  • A top regional bank regarding sales practices
     
  • A state member bank related to a self-identified loss mitigation issue
     
  • A university into whistleblower allegations of fraudulent vendor payments and bid-rigging
     
  • A national tax preparation company related to allegations regarding the potential filing of fraudulent tax returns
     
  • A committee of the board of directors of a bank in an internal fraud investigation involving senior executives
     
  • Oil and gas, energy services, retail, and/or petrochemical companies operating in India, China, Kazakhstan, Russia, Italy, Egypt, Korea, Guatemala, and numerous other non-U.S. jurisdictions involving potential FCPA violations
     
  • The Pennsylvania Attorney General regarding alleged inappropriate and unethical email communications by state government officials, including judges and prosecutors

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