Internal Investigations

News & Analysis as of

Delaware’s Adoption of Garner — and Practical Ways to Respond

On July 23, 2014, the Delaware Supreme Court in Wal-Mart Stores Inc. v. Indiana Electrical Workers Pension Trust Fund IBEW held that plaintiff stockholders, who make a showing of good cause, can inspect documents concerning a...more

Arizona Enacts Limited Privilege For Insurance Self-Audits

Arizona has enacted a privilege applicable to voluntary compliance audits conducted by insurance companies. This “self-evaluative” privilege protects audit documents and testimony in civil and some administrative proceedings....more

How to improve fraud detection in 10 easy steps

No organization wants to wake up to find themselves suddenly the center of unexpected liability or unwelcome scrutiny. That vulnerability is more significant with the increase of occupational fraud stimulated by today's tough...more

Court Broadens Confidentiality of Investigations - D.C. Circuit extends privilege in internal corporate probes, but inconsistent...

You are counsel to a government contractor that is conducting an internal investigation into possible fraud. Federal mandatory disclosure obligations require an investigation, as does the need to gather facts to seek legal...more

Occupational Fraud Costs Global Businesses an Estimated $3.7 Trillion

Organizations lose approximately five percent of their revenue each year to internal theft and fraud, according to the Association of Certified Fraud Examiners' (ACFE) recent Report to the Nations on Occupational Fraud and...more

National Labor Relations Board Majority Holds That Seeking Co-Worker Assistance with an Individual Harassment Complaint is...

Last week, the NLRB took an exceptionally broad view of what constitutes “concerted activity” and what kind of efforts are aimed at “mutual aid or protection” under the National Labor Relations Act. For employers, this could...more

No “Loos” Causation From Mere Announcement Of Internal Investigation

Securities fraud actions are often filed on the heels of an announcement of an internal or SEC investigation. A recent Ninth Circuit decision, Loos v. Immersion Corp., may make it easier for company executives to sleep at...more

A Surprise in Progressive Rock – FCPA Internal Investigations

The case has a long involved Foreign Corrupt Practices Act (FCPA) history. It involves Panalpina and its customer Shell. David Smyth, in his great blog Cady Bar the Door, reported, in a post entitled “Texas Court of Appeals...more

Conducting Interviews in an Internal Investigation 2 13 14, 9 03 AM [Video]

The ability to conduct an effective internal investigation is critical for every organization. The interviews of witnesses are the most important aspect of any internal investigation. In response to interest in holding...more

Supreme Court to Take Up Kellogg Brown & Root Whistleblower Case

It’s impossible to understate the importance of strict adherence to procedure when initiating a qui tam action under the False Claims Act. Unfortunately under our legal system, otherwise meritorious claims can often be...more

Internal Investigations: Soup to Nuts (March 13, 2014) [Video]

More and more companies need to conduct internal investigations as an important strategy to protect the company against serious government investigations. Not all internal investigations have to be conducted in the same way....more

Litigation Alert: Ninth Circuit Issues Key Ruling on Pleading of Loss Causation in Securities Class Actions

Loos v. Immersion Corp., et. al., Case No. 12-15100, ---F.3d--- (9th Cir. 2014) - On August 7, 2014, the Ninth Circuit issued a key opinion on the pleading of loss causation in securities class actions, ruling for the...more

Five Most Common Weaknesses in Anti-Corruption Compliance Programs

In this Internet-age of ADHD and simplistic thinking, I thought I would contribute this week by putting together some lists of common themes in the ethics and compliance world. Unfortunately, we are all addicted to quick...more

Workplace Investigations: What You Need To Know

Employee complaints of discrimination, harassment and retaliation in the workplace have been on the rise over the past years. Employers and administrators must be ready to respond to these types of claims. In the...more

Illinois Municipality Concludes Probe on Hostile Work Environment

Blowing the whistle does not always need to involve fraud and malfeasance. Sometimes a culture of apathy allows a hostile work environment to develop that can only be addressed with outside intervention. Employees and...more

Delaware Supreme Court Extends Shareholder Books and Records Inspection Rights to Privileged Internal Investigation Documents

A recent decision of the Delaware Supreme Court approved granting shareholders the right to inspect privileged and confidential internal investigation materials upon showing “good cause.” Directors and general counsels should...more

Supreme Court Opinion Calls into Question Hundreds of NLRB Rulings

On Thursday, June 26, 2014, the Supreme Court issued its long-awaited Noel Canning decision (NLRB v. Noel Canning, 572 U.S. ____ (2014)), and invalidated President Obama’s January 2012 appointments of three individuals to the...more

Rogue CFO IV – The Company Response

In this series we have considered the problem of a rogue CFO, or other executive officer, who defrauds or steals from the company. The focus has been on measures that are designed to prevent the high-level fraud from...more

D.C. Circuit Upholds Claim Of Corporate Attorney-Client Privilege

A recent blog post addressed a noteworthy decision in United States ex rel. Barko v. Halliburton Co., No. 1:05-CV-1276, 2014 WL 1016784 (D.D.C. Mar. 6, 2014), which held that materials relating to an internal investigation...more

Attorney-Client Privilege Protection in Internal Investigations Upheld by D.C. Circuit: Good News for Corporate Counsel

In a much-anticipated decision, the D.C. Circuit clarified the general test for the applicability of the attorney-client privilege in internal investigations. In re Kellogg Brown & Root, Inc., 14-5505, 2014 WL 2895939 (D.C....more

Human Rights Commission Looking for Early Information From Claimants

Representing defendants in claims before the Maine Human Rights Commission can be frustrating because the allegedly detailed statement of charge is often not very detailed. It can be difficult to respond to a claim when the...more

DC Circuit Maintains Protections for Internal Investigations

Many of the privileges the law recognizes against the compelled disclosure of information exist in order to promote candor. For instance, attorney-client privilege exists because people must be able to remain open and honest...more

Organizations need to be "Internal Fraud Aware"

GlaxoSmithKline (GSK) knows how devastating fraud can be to an organization. The company, and its executives, have been accused by the Chinese government of funnelling hundreds of millions of dollars in bribes to...more

Managing Your Internal Investigation Program June 3 2014 [Video]

Global companies have to design and implement an efficient process for conducting internal investigations. An effective ethics and compliance program requires companies to screen complaints, assign appropriate resources to...more

Whistleblowers are important | Ensure yours understand their benefit

Over the last few years, we've seen how the power of whistleblowers can effect change, hold companies accountable and stop corruption. The spotlight on the critical role they could have played is seen in the absence of them...more

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