Investigations

News & Analysis as of

Plaintiff Does Not Offer Proportional Production Remedy, Court Denies “Discovery on Discovery” (New York)

Freedman v. Weatherford Int’l, 2014 WL 4547039 (S.D. N.Y. Sept. 12, 2014). In this securities fraud case, the plaintiff sought the production of search efficiency reports that were part of an investigation by third...more

The SEC’s Carter’s, Inc. Investigation Yields Another Insider Trading Case

Carter’s, Inc. is the investigation that just keeps on generating cases. The investigation has yielded seven SEC actions charging insider trading and financial fraud. Hedge fund manager Stephen Slawson became the eight person...more

FPPC Goes on Offense to Identify and Fine Gift Reporting Failures

"Pro-Active" Approach Already Resulted in Fines for Public Officials - The Fair Political Practices Commission has initiated a proactive approach to auditing and investigating gift reporting failures by government...more

PAC Holds that Public Bodies Must Release Employee Informal Investigative Reports

The Public Access Counselor (PAC) recently addressed the issue of whether informal employee investigative reports concerning the misconduct of a public employee are subject to disclosure under Section 7(1)(n) of the FOIA. In...more

Internal investigations and the Importance of Witness Interviews

Everyone claims to know how to conduct an internal investigation. Given the government’s reliance on internal investigations, law firms have beefed up their internal investigation services. Inevitably, the quality of internal...more

Global Investigations: Reading The Signals

As the global economy recovers, how will regulators respond? Experts provide perspectives on trends in regulatory and corporate investigations. Global trends in regulation - In the wake of the financial crisis,...more

13 Fired After Department of Watershed Management Internal Investigation

The Atlanta Department of Watershed Management recently conducted an internal investigation after reports of theft and mismanagement arose from within the organization. Soon afterward, the department fired 13 unnamed...more

Justice Department Opens Up False Claims Files for Criminal Investigation

The Justice Department has a penchant for disclosure – they tell you what they are going to do in advance and then they do it. Companies have tried to claim they were “shocked” or “surprised” by the Justice Department’s...more

Important Considerations for Cohesive Internal Investigations

After potentially illegal or unethical wrongdoing is exposed within an organization, the most important step to take is to launch a comprehensive internal investigation. This can be a major challenge, and there are a number...more

Former FTC Regional Director and Court of Appeals Justice Answers What To Do When the FTC Investigates

We like to give you information that helps you stay off the radar of the Federal Trade Commission with posts. But, what do you do if the FTC does investigate? I asked newly-minted Gray Reed & McGraw shareholder Justice Jim...more

The CFPB Weighs in on Marketing Services Agreements

The Consumer Financial Protection Bureau (“CFPB”) has, for the first time, publicly expressed views on marketing services agreements (“MSAs”) under Section 8 of the Real Estate Settlement Procedures Act (“RESPA”). After...more

Bank Julius Baer Customer Implicated in Alleged Tax Fraud

Reuters is reporting that Bank Julius Baer is cooperating with French authorities in their criminal investigation into an alleged value-added-tax (“VAT”) fraud in the EU Emissions Trading System. ...more

UK Competition Authority acted irrationally in hotel room on-line pricing case

A decision by the UK’s former competition authority, the Office of Fair Trading (OFT – now replaced by the Competition and Markets Authority (CMA)) to accept commitments to settle its investigation into on-line prices for...more

Healthcare Industry Faces Heightened Criminal Exposure Under New Criminal Division Review Process for Qui Tam Suits

The Assistant Attorney General for the Criminal Division, Leslie Caldwell, announced on September 17, 2014, that criminal prosecutors at the Justice Department in Washington will automatically review all new qui tam (i.e.,...more

How EU data protection laws impact cross-border FCPA investigations

EU data protection laws apply to "personal data" in the broadest sense. For instance, a business email sent by an employee from the office constitutes "personal data" as long as the email directly or indirectly identifies an...more

Judge Backs EEOC’s Right to Investigate Companywide Policy

Based on Applicant's Allegation That Company Required Unlawful Pre-Offer Health Questionnaire - TAMPA, Fla. - A federal court has ordered KB Staffing, Inc., a staffing firm servicing central Florida, to comply with an...more

What Does Delaware’s Wal-Mart Decision Mean for Attorney-Client Privilege and Internal Investigations?

The Delaware Supreme Court recently came to a decision in Wal-Mart Stores Inc. v. Indiana Electrical Workers Pension Trust Fund IBEW to uphold the order given by the Delaware Court of Chancery to require Wal-Mart to give the...more

Whistleblower Hotline Providers Can Even Save Lives

My mom and dad both have jobs in medicine, so I am some what familiar with how doctors, nurses, and specialists run their practice. My mom works with cancer patients so when I came across this rather shocking article about a...more

OFCCP Joins EEOC in Holding That Gender Identity/Transgender Discrimination is Sex Discrimination Under Title VII

The Office of Federal Contract Compliance Programs (OFCCP) issued a Directive on Gender Identity and Sex Discrimination (DIR 2014-02), announcing that it will follow the EEOC and investigate claims of gender identity...more

Judge Easterbrook on Appellate Review: There Are No "Writs of Erasure"

Judge Easterbrook provided a fundamental and valuable lesson on appellate review during today’s oral argument in O’Keefe v. Chisholm, a series of consolidated appeals that concern the John Doe investigation brought by...more

MN PUC Affirms Path of Contentious Litigation for Externalities Value Determination

The MN PUC held a hearing on September 4, 2014, to address the impending investigation of social costs of pollutants under Minn. Stat. § 216B.2422 subd. 3 (known as externalities values). First established in the late 1990s,...more

Corporate Responses to Investigative Requests by the Federal Government

In light of these new realities corporations face, the first step a company should take is to establish internal guidelines addressing interaction with government agents. Companies should have a response policy in place and...more

Extraordinary Rendition and Ripples From the Chinese Corruption Investigations

As many of you know, I am a recovering trial lawyer. So I was very interested when I received a book for review by Paul Batista, entitled Extraordinary Rendition. Not only is Batista a practicing trial lawyer specializing in...more

HHS OIG Issues Report on Questionable Billing for Medicaid Pediatric Dental Services

What you need to know: The Office of Inspector General for the US Department of Health & Human Services recently published the results of its study on Louisiana dentists who may be providing unnecessary dental...more

Long and Winding Road of FCPA Investigations

The Justice Department and the SEC attorneys have a duty to manage caseloads and move cases responsibly. I called it “cut and run.” Either the government has the evidence or it does not – and they now fairly early on what...more

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