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Corporate Governance and Internal Investigations

Today’s business environment presents employers with complex legal, regulatory and corporate compliance challenges as both public and private organizations operate under an unprecedented level of scrutiny.

Overview

Our Corporate Governance and Internal Investigations Practice Group includes former senior in-house corporate counsel, distinguished trial attorneys and former government attorneys who offer a team approach to organizational compliance challenges. In many cases, we are retained to handle such matters by the organization’s senior management or by its board of directors.

We represent publicly-traded and privately-held organizations in a variety of matters involving corporate compliance, internal investigations and whistleblower litigation. We regularly advise employers on the development of compliance programs that meet industry best practices and comply with the U.S. Sentencing Commission Guidelines for Organizations as well as the Federal Acquisition Regulations (FAR). In addition, we have extensive experience conducting internal investigations relating to code of conduct concerns, potential Foreign Corrupt Practice Act (FCPA) violations and related anti-bribery matters. Our attorneys regularly defend employers against whistleblower claims pursuant to the Sarbanes-Oxley Act of 2002 (SOX), the Dodd-Frank Act of 2010, the False Claims Act (including Qui Tam/Relator claims), and other federal, state and local whistleblower laws.

Some of the specific services we provide include:

  • Providing counsel and/or conducting internal investigations of publicly-traded, privately-held and not-for-profit organizations in relation to allegations of fraud, financial impropriety, conflicts of interest, code of conduct violations and alleged backdating of stock options plans;
  • Defending federal contractor organizations against False Claims Act Qui Tam/Relator claims alleging contract fraud;
  • Developing and updating of codes of conduct, employee reporting mechanisms (whistleblower hotlines), and employee awareness and training programs pursuant to SOX and FAR requirements;
  • Defending whistleblower claims under Dodd-Frank, SOX and other federal, state and local laws asserted against publicly-traded companies in various forums, including administrative proceedings before OSHA as well as in federal and state courts; and
  • Developing FCPA compliance requirements and conducting related internal investigations.

The Team

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Archived

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Assessing your Anti-Corruption Compliance Program in Light of the Latest Developments Under the Foreign Corrupt Practices and UK Bribery Act

November 17, 2016 - 12:00 PM to 1:00 PM EST
Credits: CLE - 1.0/1.2*, HRCI - 1.0, SHRM - 1.0
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Archived

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Surveying the Workplace Law Landscape Webinar Series

June 17, 2016 - 11:00 AM to 12:00 PM CST
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Recent Developments in Employee Whistleblower Litigation

June 7, 2016 - 12:00 PM to 1:00 PM
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December 13, 2016

Bill Would Limit Applicability of Dodd-Frank Act to Certain Financial Institutions

December 13, 2016

A bill in Congress would significantly amend the Dodd-Frank Wall Street Reform and Consumer Protection Act (Pub. L. 111–203) to change what institutions might be designated a systemically important risk requiring additional scrutiny. This change may result in reduced regulation of smaller banks. The “Systemic Risk... Read More

November 10, 2016

Workplace Law Under President-Elect Donald Trump: What to Expect

November 10, 2016

President-elect Donald Trump will assume office on January 20, 2017, with a Republican majority in both the Senate and the House of Representatives. While it is difficult to predict whether the new administration will be able to deliver on President-elect Trump’s campaign promises, we can expect significant policy and enforcement... Read More

September 8, 2016

Updated EEOC Retaliation Guidance Suggests Scrutiny for Internal Investigation Practices

September 8, 2016

The Equal Employment Opportunity Commission takes an expansive position on protection given to persons who make internal complaints about discrimination in bad faith in updated guidance on retaliation law. Under a retaliation theory, individuals have legal redress if an employer takes a material adverse action against an individual... Read More

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December 15, 2016
Corporate Counsel

Patricia Diulus-Myers Comments on Employers Monitoring Workers' Discussions on Chat Apps

December 15, 2016

Patricia Diulus-Myers comments on steps that employers can take when addressing workers venting anonymously on chat apps in "Workers Are Venting Anonymously on Apps. What Can In-House Counsel Do?," published by Corporate Counsel.  Subscription may be required to view article Read More

April 1, 2016
Wolters Kluwer Employment Law Daily

Jackson Lewis Attorneys Featured in "2015 review - 2016 forecast: Federal agencies on the move"

April 1, 2016

In “2015 review—2016 forecast: Federal agencies on the move ,” Wolters Kluwer publishes their second in a series of three briefings on the most important agency developments and union activity and what we can expect in 2016.  This piece includes insight from Howard Bloom, Paul Patten, Francis Alvarez, Paul DeCamp,... Read More

March 24, 2016
The Boston Globe

Robert Peabody Comments on HubSpot Investigation

March 24, 2016

Robert Peabody comments on the now-closed investigation into an ethics scandal at HubSpot Inc. in "HubSpot file has no reason for decision not to prosecute," published by The Boston Globe. Subscription may be required to view article. Read More

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Ex-GC Awarded $8 Million For Retaliatory Firing
February 7, 2017

Written by David A. Nenni and Jessica L. Sussman A California federal jury awarded Sanford Wadler, former General Counsel of Bio-Rad Laboratories, $8 million for his claims against his former employer under the whistleblower provisions of Sarbanes-Oxley (SOX) and the Dodd-Frank Acts (DFA). Read More

CFTC Has Banner Year For Enforcement Actions in FY2016
February 3, 2017

The U.S. Commodity Futures Trading Commission (CFTC) recently released its enforcement results for fiscal year 2016.  In FY 2016, the CFTC filed 68 enforcement actions and obtained restitution, disgorgement and penalty orders totaling approximately $1.29 billion.  The CFTC collected and deposited at the U.S. Read More

What to Expect in Terms of Criminal Justice Priorities Under Attorney General Sessions
January 30, 2017

Senator Jeff Sessions as U.S. Attorney General would be tough on urban crime, corporate wrongdoers, and immigration violations. An analysis of his recent Senate confirmation testimony, record as U.S. Attorney for the Southern District of Alabama, and public comments as a U.S. Read More