Practices

Government Investigations And Enforcement

A group of the Carr Maloney attorneys working together with staff members on a case.

Overview

Carr Maloney attorneys have decades of experience defending corporations and individuals, including directors and officers, in investigations and enforcement actions by federal and state agencies, self-regulatory organizations, and professional licensing bodies. 

We understand the policies, strategies and tactics used by government agencies and have successfully represented clients in investigations brought by the Department of Justice, financial institution regulators, the Department of Labor, PCAOB, and the Securities and Exchange Commission, as well as by state attorneys general, other state agencies, and licensing bodies. 

Our Government Investigations and Enforcement attorneys have experience handling matters including:

  • Whistleblower Internal Investigations
  • Corporate compliance issues
  • Employment matters in various industries (including matters involving senior executives)
  • Financial services issues
  • Fraud-related and financial reporting laws
  • Health-care 
  • Insurance 

Internal Investigations

When possible wrongdoing or legal exposure comes to light our Government Investigations attorneys work with inside counsel, directors and others to conduct a thorough independent internal investigation. We help clients anticipate and avoid the possible missteps that can cause unnecessary complications in an investigation.

In these matters, we advise inside counsel, directors, audit committees, special litigation committees, and management on strategies to minimize risk and future exposure. 

In the course of conducting internal investigations, we advise clients regarding a multitude of issues that arise including reporting or disclosure requirements, corporate compliance considerations, concerns about reputation/brand, and the possibility of civil litigation or other enforcement proceedings. 

Risk Management

We don’t just defend against governmental claims of violations or wrong-doing, we help our clients create policies and procedures that minimize the risk of such claims. An effective compliance program reduces the likelihood of regulatory violations and improves a company’s ability to defend itself if a government agency makes a claim. 

Our understanding of our clients’ business and governmental agency requirements helps us to identify areas of vulnerability and insufficient internal controls. We work with clients to develop best business practices that will minimize future government inquiries or enforcement actions.

Equity Partner Contacts

Partner Contacts