Employees, customers, competitors, and vendors have more avenues and incentives than ever to report suspected misconduct. When a company becomes aware of concerns that its employees, executives, or third parties may have violated the law, it must lean on attorneys with the experience and judgment to conduct a focused, comprehensive internal investigation and provide careful guidance to the board or management. Companies especially need qualified and experienced outside counsel to investigate allegations and assess risks when the company may have to disclose results to regulators and other government agencies.
Our team of seasoned litigators — white collar and regulatory defense attorneys, former prosecutors, regulators, and senior officials and advisers from numerous federal agencies — brings a substantial depth of experience to a wide range of investigations. Our lean approach to client teams and our industry-leading e-discovery practice, FORTÉ, positions Buckley to meet the needs of our clients with high quality work in an efficient and cost-effective matter.
We have conducted internal investigations, both anticipatory and in response to government inquiries or civil allegations, in a wide range of industries. These include multinational corporate internal investigations relating to the Foreign Corrupt Practices Act, as well as internal investigations involving potential accounting and tax fraud, mail and wire fraud, antitrust violations, environmental crimes, workplace misconduct, discrimination and harassment, and violations of banking regulations, including relating to racial discrimination. Our team provides unbiased assessments of the facts and the law, and advises on taking a pragmatic approach in remedial action plans, when necessary.
Buckley attorneys regularly advise clients on:
- Scoping investigations
- Collecting and preserving documents
- Assessing employment decisions relating to misconduct
- Responding to whistleblower complaints
- Self-reporting obligations
- Cooperating with government investigations
- Engaging outside consultants
- Managing the dissemination of information (internally and externally)
- Developing and proposing practical solutions tailored to the company’s circumstances
- Designing, implementing, and evaluating compliance policies and procedures to drive organizational change and meet regulatory and government expectations
We have conducted internal investigations on behalf of a wide range of clients, including:
- A publicly traded bank related to claims of Suspicious Activity Report improprieties
- A publicly traded company examining allegations of noncompliance with rules and regulations governing when costs could be sought from the federal government
- A major mortgage servicer regarding loss-mitigation practices
- A major national bank assessing potential fraudulent conduct in loan origination
- Affiliated homebuilder and lenders regarding sales, origination, servicing, and collection practices
- A committee of the board of directors of a regional bank involving whistleblower allegations related to anti-money-laundering compliance
- A regional bank regarding sales practices
- A state member bank involving a self-identified loss-mitigation issue
- A university regarding whistleblower allegations of fraudulent vendor payments and bid rigging
- A national tax preparation company on allegations of filing fraudulent tax returns
- A committee of the board of directors of a bank in an internal fraud investigation involving senior executives
- Oil and gas, energy services, retail, and/or petrochemical companies operating in India, China, Kazakhstan, Russia, Italy, Egypt, Korea, Guatemala, and numerous other non-U.S. jurisdictions involving potential FCPA violations
- The Pennsylvania attorney general regarding alleged inappropriate and unethical email communications by state government officials, including judges and prosecutors
Topic Spotlight: Inspector general investigations
More than 70 inspectors general throughout federal agencies and other governmental entities have the power to issue subpoenas, coordinate with civil enforcement agencies, make referrals to and work with criminal prosecutors, issue public reports, and liaise with Congress. These investigations and potential enforcement actions can significantly strain resources, impede normal business activity, and cause reputational damage.
Buckley regularly guides clients through these inquiries and investigations, including those triggered by or involving whistleblowers, as well as handles the civil and criminal enforcement actions and congressional inquiries that arise from IG investigations.
"Cross-border internal investigations in Spain" co-authored by Daniel R. Alonso (Anti-Corruption Report)
In recent years, more and more U.S. investigations have touched Spain and various countries within Latin America, in particular Argentina, Brazil, Colombia and Mexico. Loosely speaking, these countries have cultural, language and regional affinities and similarities that make them useful to study...Articles
"Price-gouging a priority as pandemic persists"
One of the federal government’s most immediate responses to the coronavirus crisis was a highly visible campaign against profiteering. While the absence of an overarching federal anti-price gouging statute has forced prosecutors to improvise and legislators to contemplate new laws in order to...Buckley Commentary & Analysis
"CARES congressional oversight: Scope and structure" by Preston Burton (Bloomberg Law)
The Coronavirus Aid, Relief, and Economic Security Act, signed in March 2020, enacted an unprecedented level of emergency government spending to provide public health relief and stabilize an economy damaged by the pandemic, and included oversight provisions to monitor how the $2 trillion is spent...Articles
"The first days: Setting the tone for a successful internal investigation" by Bree Murphy
An internal discovery or a criminal or civil regulator’s inquiry that sparks an internal investigation thrusts in-house counsel into the uncomfortable and complex role of exploring potential wrongdoing inside the company’s walls. These are high-stakes matters in which the range of outcomes is...Buckley Commentary & Analysis
"Increased government demands for de-confliction will impede internal investigations" by Lauren R. Randell
The Department of Justice recently faced criticism for getting too involved in an internal investigation ostensibly conducted by a company’s external lawyers, with the government telling the company’s lawyers which employees to interview and what questions to ask them. But less attention has...Buckley Commentary & Analysis
News & Blogs
Daniel R. Alonso quoted in The Guardian article, “What's next for Ghislaine Maxwell – and will she cooperate with prosecutors?”
Daniel R. Alonso was quoted on July 6, 2020 in an article in The Guardian , “What's next for Ghislaine Maxwell – and will she cooperate with prosecutors?” which explored how the case against Jeffrey Epstein’s accomplice might progress and whether the perjury charge against her could affect her...In The News
Lauren R. Randell quoted in Business Insurance article, “DOJ policy shift could trigger increased demand for D&O cover”
Lauren R. Randell was quoted on December 11, 2018 in a Business Insurance article, “DOJ policy shift could trigger increased demand for D&O cover,” which discussed Deputy U.S. Attorney General Rod Rosenstein’s announcement of modifications to the “Yates memo” — the 2016 Memorandum on Individual...In The News