Compliance & Internal Investigations

Overview

Counsel for Compliance, Experience in Internal Investigations

When clients suspect wrongdoing within their organization, getting the right people to conduct a thorough and impartial investigation is vital. Businesses, nonprofits and governmental entities regularly turn to Brooks Pierce when seeking to conduct investigations of their employees.

We conduct investigations for public and private businesses of all sizes. Our interdisciplinary team is especially adept at navigating the complex challenges associated with internal investigations of boards of education and other governmental entities, where public records and open meeting laws often dictate how and when information is shared. We also have extensive experience conducting investigations for clients facing external pressure from regulators, whistleblowers, activist shareholders and civil litigants.

When conducting an investigation, our lawyers efficiently interview witnesses and collect and analyze documents and electronic data to enable us to provide unvarnished advice on a company’s next steps and how best to deal with any internal issues and minimize regulatory or legal action.

Once an investigation is complete, we also can work with your organization to review and, if necessary, update applicable policies and procedures to ensure they are compliant with state and federal laws and to minimize risk moving forward.

Our attorneys have conducted investigations for organizations in many industries including:

  • Banking and finance
  • Health care
  • Education, both K-12 and higher education
  • State and local government
  • Hospitality and restaurants
  • Real estate
  • Media
  • Construction
  • Utilities and telecommunications
  • Agriculture

Issues we have investigated include:

  • Employment, including harassment and discrimination claims, violations of policies and procedures, and allegations of workplace health and safety issues
  • Financial frauds, including securities, insider trading, embezzlement, money laundering, and accounting issues
  • Misappropriation of trade secrets and computer trespass
  • Privacy issues, including data breaches and improper sharing of customer information
  • Environmental, including Clean Air Act and Clean Water Act violations

Our representative experience includes:

  • Investigating the destruction of property on a university campus to ensure school officials had responded properly.
  • Representing multiple companies in investigations of charges filed with administrative agencies such as the Equal Employment Opportunity Commission.
  • Investigating alleged attorney misconduct during litigation on behalf of a public company.
  • Investigating alleged fabrication of foreign accounting files on behalf of an accounting firm.
  • Investigating alleged illegal gambling by a key employee at a financial institution.
  • Investigating alleged improprieties in contract procurement on behalf of a governmental body.
  • Investigating discrimination allegations asserted by the senior official of an organization prior to a lawsuit being filed.
  • Investigating discrimination allegations asserted by human resources at an organization.
  • Investigating alleged embezzlement and misappropriation of trade secrets by a senior management official at a closely held company.
  • Investigating allegations of abuse and sexual misconduct in educational settings.
  • Investigating alleged HIPAA violations brought against a medical practice.

How can we help your company stay compliant?

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