Government & Internal Investigations

Government Investigations

Attorneys in our Government & Internal Investigations practice group represent corporations, investment funds, investment advisers, broker-dealers and individual clients in connection with criminal and regulatory investigations, at both the federal and state level.  We have assisted clients in responding to investigations initiated by United States Attorney’s Offices, the Fraud and Antitrust Divisions of the Department of Justice, the enforcement staffs of the SEC and CFTC, the Federal Reserve Bank, and state agencies and attorneys general.  We also regularly represent clients in connection with investigations and enforcement/disciplinary proceedings initiated by self-regulatory organizations, such as FINRA, the National Futures Association and the various stock and options exchanges.   

Corporate Internal Investigations

It is often necessary or prudent to retain independent outside counsel to conduct an internal investigation in response to allegations of misconduct.  The firm’s lawyers are experienced in leading such investigations on behalf of corporations, boards of directors, audit committees, and private equity investors.  Our attorneys have handled a wide variety of internal investigations including:

  • an investigation of an alleged criminal conspiracy at a portfolio company of a private equity fund;
  • an investigation of allegations of political favoritism in the awarding of investments of public money in clean energy projects;
  • an investigation of revenue recognition, inventory reserves, goodwill impairment and other accounting issues on behalf of a public company;
  • an investigation of financial reinsurance contracts on behalf of the board of an off-shore reinsurance company; and
  • an investigation of bill and hold revenue recognition and foreign military sales on behalf of the board of a private company.

Our Government & Internal Investigations practice group is led by Alfred Pavlis, a former federal prosecutor in the Southern District of New York and Jeffrey Plotkin, a former Assistant Regional Administrator with the SEC.

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