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.
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:
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.