Regulatory Defense and Investigations
In today’s regulatory environment, matters that begin as routine and informal inquiries by government regulators, such as the Securities and Exchange Commission and the Financial Industry Regulatory Authority, often result in administrative and enforcement proceedings. Freiberger Haber LLP provides representation to business entities and their officers, directors and managers involved in inquiries, investigations, examinations, and administrative and enforcement proceedings. The firm strives to provide counsel that results in the pre-emption of investigations, reversal of preliminary recommendations to commence enforcement proceedings, and, when appropriate, agreements to settle to avoid costly litigation and adverse publicity.
The need to perform an internal investigation can arise under various circumstances. Sometimes the defense of regulatory investigations and enforcement activity requires the business entity to run a parallel investigation to ascertain the facts and circumstances relevant to the inquiry or enforcement proceeding. Other times, an investigation is needed for prophylactic purposes to identify and resolve issues before regulatory scrutiny begins, such as where the entity is required to self-report wrongdoing, or to confirm the proper functioning of internal control systems and procedures. Still other times, an internal investigation is necessary to address reports of wrongdoing by whistleblowers within the business entity. Regardless of the circumstance, when the need for an investigation arises, it is important for the business entity to respond in an appropriate manner.
An effective investigation requires not only a detailed and thorough understanding of the basis for the allegations but also an understanding of the legal and factual issues involved. The attorneys at Freiberger Haber LLP will conduct their investigation with these principles in mind and will do so without reaching any conclusions until the investigation is completed.
When necessary, the Firm will retain experts and consultants, such as forensic accountants, computer experts, and economists, to assist in the investigation, especially when the allegations involve complex matters. At all times, the Firm will strive to conduct its investigation in a cost-effective manner.
Regardless of the reason for representation, Freiberger Haber LLP can provide your organization advice in times of regulatory scrutiny and the independence needed to investigate potential or actual misconduct. To obtain more information about the services the Firm can provide, contact us.