Internal Investigations

Internal Investigations

Given the increasingly complex regulatory landscape and proactive government enforcement and private action, it is imperative that organizations understand how to properly navigate investigations into potential misconduct and allegations of wrongdoing. 

The seasoned internal investigations attorneys at Kendall PC have extensive experience in conducting internal investigations for a wide variety of publicly traded and private organizations and entities. Our internal investigations team possess regulatory, corporate, commercial compliance and litigation experience to assist clients with these sensitive and highly complex matters to assess potential exposure, reduce costs and damages, and resolve issues to bring the investigation to an acceptable end. 

Our attorneys also guide entities post-investigation to successfully maintain reputation and goodwill, and retain business. We work with appropriate business stakeholders to determine when an investigation is warranted, the appropriate scope to best assess the pertinent underlying issues, how best to effectively remediate any findings and impose discipline on any wrongdoers, and effectively communicate the results to external stakeholders, including government agencies. 

Kendall PC also assists clients in government investigations or investigations prompted by a special committee or whistleblower complaint, including settlement and enforcement discussions. 

Our internal investigations team has experience in investigations concerning: 

  • Audit committee inquiries into illegal or improper conduct
  • Corporate governance, risk management practices and compliance programs
  • Diligence in connection with M&A transactions
  • Export Compliance
  • The False Claims Act, qui tam actions, and government contract billing
  • The Foreign Corrupt Practices Act
  • Restatements
  • Section 10A
  • Shareholder and other derivative demands
  • Special litigation committees
  • Whistleblower and other investigations under Sarbanes-Oxley
  • Healthcare fraud
  • FDA violations

For more information on our internal investigations practice, contact our office today online or at (484) 414-4093. We proudly serve small, emerging, and mid-size businesses throughout the United States and across the globe.

A Strategic Approach to Internal Investigations

Kendall PC internal investigation attorneys understand that an effective investigation must consider a wide variety of strategic issues related to an internal investigation. This includes:

  • When to conduct an internal investigation
  • Who should conduct an internal investigation (e.g., outside or in-house counsel)
  • The proper scope of the investigation
  • Whether to enter into a joint defense agreement with any current or former employees
  • Collecting information and documents, including electronically stored information (ESI)
  • Maintaining attorney-client privilege and work product doctrine
  • Delivering Upjohn warnings to witnesses
  • Conducting and memorializing witness interviews to elicit useful information
  • Documenting the investigation
  • Gathering and analyzing evidence
  • Special considerations, including engaging pool counsel to represent employees and retaining forensic accountants or economists
  • Determining potential exposures and liabilities
  • Interacting with government enforcement agencies and other regulators, auditors and oversight committees
  • Assisting with internal and external communications
  • Presenting findings to appropriate internal stakeholders, including appropriate boards, special committees, and in-house counsel

Post-Investigation Response Strategy

Kendall PC understands that risks to organizations are still present post-investigation. Government regulators, shareholders, and other third parties scrutinize corporate conduct and demand accountability for wrongdoing. This focus has led to strengthening of the laws aimed at deterring and punishing corporate and senior executive misconduct and aggressive government enforcement. As a result, it is paramount that entities mitigate the risk of liability by timely disclosing the results of the investigation and implementing remedial measures to address any compliance shortcomings and identify any responsible individuals. 

The internal investigation attorneys at Kendall PC have substantial experience in counseling clients through post-investigation matters. We assist companies in identifying any responsible individuals along with the detailed facts about the offending conduct. Where necessary, Kendall PC supports clients in discussions with government agencies, including timely disclosing the results of the internal investigation and regulatory litigation and settlement discussions.

Our internal investigations attorneys also regularly work with our clients to implement remedial measures to address any compliance shortcomings uncovered during the investigation, including assessing appropriate corrective action against the wrongdoer. Moreover, we assist relevant stakeholders in strengthening company policies to correct any identified shortcomings and prevent future problematic behavior and developing mechanisms to promote increased awareness of relevant laws and regulations through employee training.

Contact Our Internal Investigations Attorneys Today

For more information about our internal investigations practice, contact our office today at (484) 414-4093 or online. We proudly serve companies throughout the United States and across the globe.

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