Investigations

News & Analysis as of

A Recent D.C. Circuit Court of Appeals Decision Calms Employer Fears that Internal Investigations May Not Be Privileged and Lays...

A recent decision from the D.C. Circuit Court of Appeals, one of the most important courts in the nation, reaffirmed that a company’s internal investigations—if structured properly—are protected from disclosure in litigation...more

D.C. Circuit grants petition for mandamus and strongly reaffirms attorney-client privilege for internal investigations

The attorney-client privilege has long protected attorney-client communications made during the course of an internal investigation. Upjohn Co. v. United States, 449 U.S. 383 (1983). Of course, the privilege encourages “full...more

Attorney General Vows To Continue Operation Choke Point

On June 23, the DOJ released a transcript of a message delivered by Attorney General Eric Holder in which he pledged to continue investigations of financial institutions “that knowingly facilitate consumer scams, or that...more

D.C. Circuit Court Upholds Attorney-Client Privilege in Internal Investigations

Internal investigations play a lead role in a company’s effective ethics and compliance program. They are one of the best ways for a company to detect, thoroughly understand, and remedy situations that may violate its code...more

Keep Calm and Investigate: Top 10 Tips for Documenting Accidents at Your Business

An effective and thorough investigation is the first line of defense in any premises liability case. When a guest reports an accident, it is important to gather as much information as possible. Employees move on and memories...more

Privilege Upheld for Internal Investigation Preceding False Claims Act Litigation

The D.C. Circuit recently issued an important decision upholding the attorney-client privilege to protect corporate internal investigations. In re: Kellogg Brown & Root, No. 14-5055, 2014 BL 180217 (D.C. Cir. June 27, 2014). ...more

Watch Out: Your Competitors Can Now Make You the Target of a CFPB Investigation

Throughout its short history, the Consumer Financial Protection Bureau (“CFPB”) has asserted jurisdiction over various nontraditional consumer-related financial industries, from law firms to collection agencies and automobile...more

Protections Afforded to Internal Investigation Materials - D.C. Circuit Reaffirms Protections Afforded to Internal Investigation...

At least since the U.S. Supreme Court handed down its seminal 1981 decision in Upjohn Co. v. U.S., 449 U.S. 383 (1981), the conventional wisdom has been that companies can rest assured that materials prepared during internal...more

Fatal job-related injuries lead to OSHA investigation

An Alabama man working as a contractor lost his life after suffering from fatal job-related injuries. The man died after a tragic accident that resulted in severe burns on most of his body while he was employed by Ranger...more

When Should You Disclose an SEC Investigation?

SEC investigations have become more common in recent years as the still relatively new Chair, Mary Jo White, and others have focused resources and attention on enforcement. It is now well established that there is no...more

SEC Cooperation Agreements: With the Right Approach, Potentially a Valuable Tool for Those Facing Sanctions

Brownstein Hyatt Farber Schreck attorneys recently worked with staff in the Denver Regional Office of the U.S. Securities and Exchange Commission (“SEC”) to negotiate both a proffer agreement and a cooperation agreement on...more

Fighting Crime in the 21st Century — on Facebook

With the advent of social media sites like Facebook, Twitter and MySpace, police have a new tool at their disposal to fight crime. Oftentimes, unsavvy criminals expose their guilt with a tweet or a status update. However,...more

Dark Pools, High Speed Trading and the NY AG’s Suit Against Barclays

The New York Attorney General’s insider trading 2.0 investigation is apparently expanding. Initially the investigation concerned the limits of insider trading, pushing the issue into questions more akin to fairness and a...more

NLRB Continues to Throw Up Roadblocks for Internal Investigations

As we previously reported, the National Labor Relations Board has thrown down some pretty significant roadblocks for employers attempting to conduct thorough and actionable internal investigations. The Board continued those...more

US Attorney Investigating Puckett Resignation

The Richmond Times Dispatch is reporting that the United States Attorney's Office for the Western District of Virginia is investigating the recent and surprising resignation of state Senator Phillip Puckett. There is a...more

China’s State Secret Laws: Avoiding Liability in Cross Border Litigation and Investigations

When complying with discovery obligations in cross border litigation or responding to document production requests from overseas regulators, multi-nationals operating in China have to comply with China’s state secret laws...more

The CFPB & UDAAP: A “Know It When You See It” Standard?

Institutions regulated by the Consumer Financial Protection Bureau (CFPB) and subject to its enforcement authority are dealing with of the agency’s sweeping authority to prohibit unfair, deceptive, and abusive acts or...more

Time to Prepare for an On-Site FMLA Investigation

Employers can expect more on-site audits from the U.S. Department of Labor (DOL) as part of its normal procedures in investigating Family and Medical Leave Act (FMLA) violations, according to statements made by FMLA Branch...more

For Wall Street Fraudsters, Business As Usual

John F. Kennedy once quoted Dante: “The hottest places in hell are reserved for those who, in times of great moral crisis, maintain their neutrality.” Unfortunately, on Wall Street, maintaining neutrality — or feigned...more

FCPA Compliance and Ethics Report-Episode 64-Managing the Third Party Relationship Under the FCPA, Part II [Video]

In this episode I continue my review of the five steps of managing third parties under the FCPA. In this part II, I discuss steps 3-5....more

Knock Knock, Who's There? The DOL Announces Renewed Focus on On-Site FMLA Investigations

In April 2014, new FMLA Branch Chief Helen Applewhaite shed some light on the DOL's current enforcement initiatives. In particular, Applewhaite reiterated the DOL's renewed focus on conducting on-site compliance...more

U.S. Department of Commerce Imposes Preliminary Tariffs on Chinese Solar Products

On June 3, 2014, the U.S. Department of Commerce (DOC) announced its preliminary determination in the countervailing duty (CVD) investigation of crystalline silicon photovoltaic products (“solar products”) from China. DOC...more

Illinois Supreme Court to Decide If Academic Can Halt Investigation by Suing in Circuit Court

In the closing days of its May term, the Illinois Supreme Court agreed to decide whether an academic at the University of Illinois could obtain injunctive relief from the Circuit Court to halt an ongoing University...more

Proposed Legislation Seeks to Limit Patent Trolls’ Access to ITC Investigations

On Thursday, May 29, 2014, U.S. Congressmen Blake Farenthold (R-TX) and Tony Cárdenas (D-CA) introduced legislation aimed at reducing the ability of patent trolls to initiate ITC investigations....more

Three Practical Steps to Managing FCPA & Anti-Corruption Risks

Foreign Corrupt Practices Act (FCPA) enforcement continues to be a priority for the United States Department of Justice (DOJ) and Securities and Exchange Commission (SEC). In recent years, U.S. authorities have aggressively...more

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