Internal Investigations

Has represented companies in cases involving allegations of sexual harassment, including conducting thorough internal investigations. After the investigations, we provided reports to top management, including conclusions and recommendations.

Represented a family-owned real estate company regarding a data incident. Our role was to liaise with insurance carriers, secure and contract with a forensic investigator, lead the investigation and analyze the results to determine whether a breach had occurred while keeping the conversation privileged.

Represented a New York City hospital system by leading an investigation into breach of patient information from five hospitals and disclosure onto five Internet search engines, while also coordinating breach response and reporting.

Led investigation into and provided counsel and coordination for response to theft of trade secrets from a multi-national oil equipment manufacturing corporation, where theft originated in eleven countries.

Analyzed futures trading activities of U.S. subsidiary of a Japanese corporation, drafted policies and procedures, and presented training seminar to relevant management and traders.

Conducted an internal investigation of suspected employee theft and fraud, including supervising polygraph examination of employee.

Assessed investment house’s over-the-counter derivatives trading operations, revised policies and procedures to address deficiencies, and provided training for traders.

Investigated and reported to Federal Reserve Board and firm management on whistleblower complaint against investment bank concerning employee misconduct with off-market pricing of Yen options trades, and improper booking and confirmation of derivatives transactions.

Represented client in all aspects of the enforcement investigation, including coordinating discovery, conducting internal investigation of allegations, defending on-the-record testimony, and negotiating settlement.

Pursuant to Consent Decree, assessed and reported to the Board of Directors and the New York Stock Exchange on investment house’s policies and procedures for order entry, Rule 144a transactions, margin trading, new account documentation, and supervision of institutional and retail accounts. Recommended changes to policies and procedures based on lessons learned from the investigation.