SERVICES

In today’s world, businesses face a challenging legal and compliance environment.  When allegations of misconduct, fraud, or abuse arise – either from an internal audit, a whistleblower, or a government investigation – our team of highly experienced lawyers is prepared to investigate a company from within.  

PRACTICE AREAS

Internal Investigations & Compliance Programs

Overview

In today’s world, businesses face a challenging legal and compliance environment.  When allegations of misconduct, fraud, or abuse arise – either from an internal audit, a whistleblower, or a government investigation – our team of highly experienced lawyers is prepared to investigate a company from within.  We then take a proactive approach to compliance, using our litigation and enforcement expertise to identify and mitigate potential risks.

Our white-collar internal investigation team can help you address issues internally to avoid harmful civil and criminal liability.

We offer extensive experience in conducting internal investigations for companies, as well as their boards and officers.  Our investigations delve into complex subject matters and potential violations of a variety of federal and state laws and regulations including the Foreign Corrupt Practices Act (FCPA), the False Claims Act (FCA), the Antikickback Statute and Stark Law, securities laws, and environmental laws.  We address issues concerning corporate governance, fiduciary duties, bribery, fraud, corruption, financial crimes, and government reimbursements through programs including Medicare and Tricare.

We often conduct internal investigations contemporaneously with government investigations by the Department of Justice (DOJ), Securities and Exchange Commission (SEC), state attorneys general, and other federal and state enforcement authorities.  Our team, which includes a former United States Attorney and former Assistant United States Attorney with extensive experience working with law enforcement and government agencies, is uniquely situated to represent our clients in dealings with government lawyers.

Don’t let employee misconduct destroy your business.

One of the most significant risks to a modern business is the prospect of employee misconduct resulting in accounting irregularities, theft of corporate property, misappropriation of proprietary data, or threats of inappropriate reprisals (i.e., sexual harassment, discrimination).  An allegation of improper or illegal conduct in the workplace is a serious matter for any business.  An employee’s or manager’s individual actions can cost a business its reputation and subject coworkers to costly expenses.

Management’s response to allegations of misconduct can be the determining factor in the scope of damage caused to business interests and reputations.  More importantly, responsible handling of an allegation of misconduct may be required to avoid personal liability for managers of the business, who may be subject to disclosure obligations.  We have the skills and experience to help corporate managers investigate the facts surrounding an allegation of misconduct.  Working with qualified investigators and forensic accountants, Stumphauzer & Sloman will move quickly to preserve relevant evidence, interview knowledgeable parties, and prepare a full report for management’s review.  If appropriate, our attorneys can interface with regulators, prepare voluntary disclosures, and help clients implement compliance programs and processes, all while minimizing interference with business operations.

Internal Investigations Customized to Meet Client Needs

Our attorneys have conducted internal investigations of varying size and scope, for clients ranging from continent-spanning multinational conglomerates to single-office healthcare clinics.  We tailor our investigations to best serve the needs of our clients.  Our capabilities allow us to handle wide-ranging investigations of large companies with multiple subsidiaries, technology systems, and large volumes of documents.  At the same time, we recognize that some investigations can be limited to discrete issues with minimal document review.  We always advise clients of their options.

Prevent misconduct before it starts by engaging our lawyers to develop internal compliance systems and controls.

We also have broad expertise working with companies to shore up their compliance programs to protect from potential civil and criminal liabilities.  Our compliance work often occurs in tandem with an internal investigation.  Our team uses our background in government and complex business litigation to advise a correct course of action, work with a client to bring a company and its documents into compliance with federal, state, and local laws, regulations, and best practices, and, when necessary, provide trainings and other ongoing compliance support.

  • Represented corporations, directors, officers, and accounting firms in investigations conducted by the Securities and Exchange Commission, Department of Justice, and in matters involving insider trading, allegations of misappropriation and fraud, internal control (SOX and SAS 70) audits, and financial restatements relating to complex accounting issues.
  • Counseled corporations in developing policies and programs for compliance with requirements under the Telephone Consumer Protection Act.
  • Represented a prominent national health care provider in conducting an internal investigation of alleged violations of the Civil Monetary Penalty Law, and in voluntarily reporting those violations to the Department of Health & Human Services pursuant to the Self-Disclosure Protocol.
  • Represented a large multi-specialty physicians’ group in evaluating structural issues and financial arrangements that implicated the Anti-Kickback Statute, the Stark Law, and analogous state statutes.  Following our evaluation, we counseled the company in implementing new corporate policies and procedures, and in evaluating all existing contracts, to ensure compliance.

We also have broad expertise working with companies to shore up their compliance programs to protect from potential civil and criminal liabilities.