Investigations

News & Analysis as of

When Is An Internal Investigation Not Privileged?

Compliance programs have grown in importance along with the demands of new laws and regulations. These programs are increasingly seen as vital to preventing corporate misconduct or, at least, mitigating sanctions if...more

The SEC’s Continuing Investigation Regarding Carter’s, Inc.

Carter’s Inc. is the SEC investigation that just keeps on producing cases. Recently former firm vice president Richard Posey settled insider trading charges with the Commission after pleading guilty to one count of conspiracy...more

Government targets ‘risky business’ with free HIPAA assessment tool

Last week, the Office for Civil Rights of the U.S. Department of Health and Human Services released a toolkit for covered entities and business associates to use to perform a security risk assessment. The HIPAA Security Rule...more

New York DFS Obtains Substantial Settlement In Licensing Enforcement Action

On March 31, in an enforcement action with potential implications for a range of financial service providers, the New York State Department of Financial Services (DFS) announced that an insurance holding company agreed to pay...more

Eastern District of Louisiana Rules that Factual Portions of Incident Report by Bureau of Safety and Environmental Enforcement...

In the new world of shared regulatory oversight between the United States Coast Guard (USCG) and BSEE on the Outer Continental Shelf (OCS), a mundane devil-in-the-details – but nonetheless vitally important question – had...more

High-Frequency Trading: Whistleblower Aids SEC And FBI Investigations

The buzz on Wall Street this week has been all about high-frequency trading and Michael Lewis’ new book on the topic, Flash Boys. As Lewis explains, high-frequency trading typically works by exploiting a powerful combination...more

An Upside to Parallel Civil and Criminal Investigations? Criminal Authorities May Have to Disclose Exculpatory Information in the...

Good facts make good lawyers, but good lawyers need to know where to go to get those facts. More and more frequently, the staff of the Division of Enforcement of the SEC is conducting investigations in coordination with U.S....more

White Collar Criminal Investigations Cast A Wide Net

Co-workers of white collar crime suspects may also need legal representation - Even when people work together for years and form what they believe are close relationships, they can be totally unaware of the true nature...more

CFIUS Scrutiny of Foreign Acquisitions of U.S. Businesses Intensifies (Quorum, March 2014)

The most recently released annual report (for 2012) by the Committee on Foreign Investment in the United States (CFIUS) highlights a sharp increase in abandoned deals involving foreign acquisitions of U.S. businesses. ...more

Target, University of Maryland Testify on Data Breaches; Congress, FTC and SEC Continue Inquiries

On Wednesday, March 26, 2014, the Senate Committee on Commerce, Science and Transportation held a hearing entitled “Protecting Personal Consumer Information from Cyber Attacks and Data Breaches” and heard testimony from...more

Herbalife Hit with Civil Investigative Demand – Is the FTC Finally Turning up the Heat on Multi-Level Marketers?

For many, the announcement two weeks ago that the Federal Trade Commission has commenced a formal investigation into Herbalife was not terribly interesting. After all, nutritional supplement company Herbalife has been the...more

Labor & Employment E- Note - March 21, 2014

In This Issue: - High Court Mulls if Amazon Must Pay for Worker Security Checks - Silicon Valley Class-Action Accuses Executives of Hiring Collusion - EEOC Issues New Guidelines for Religious Bias as Complaints...more

ITC Section 337 Update – March 2014

Jury Sets FRAND Rate For And ITC Ends Investigation Into LSI/Agere Wi-Fi Patents – On February 26, 2014, a Northern District of California federal jury reached a Verdict in Realtek Semiconductor v. LSI and Agere, Case...more

When To Bring In Investigative Counsel And Why

When should you bring in a true outsider to handle an internal investigation? What about specialized investigative counsel? Jim McGrath, who often writes about the need for specialized investigative counsel, has also pointed...more

Interviewing in the Context of Workplace Investigations

As an ethics and compliance professional and investigator, I have been intrigued by the recent media coverage of wrongful convictions. Also, the stories reminded me of a fascinating article in the New Yorker magazine a few...more

Government Continues to Crackdown on Employer I-9 Violations

Employers take note: Vigilance and accuracy is key when it comes to I-9 employment verification forms. I-9 investigations are at an all-time high, with more than 3,000 audits taking place in 2012 compared to only 250...more

Market Conduct Examinations: Are You Prepared?

Market analysis and market conduct examinations provide insurance regulators with information to assess how the insurance marketplace as a whole, and the individual insurance entities that make up that market, are in...more

House Financial Services Committee Chairman to CFPB on Indirect Auto Investigations: Slow Down. Pull Over. And Show Us Some ID.

Since last March, when the CFPB issued Bulletin No. 2013-02, its highly controversial release warning banks and finance companies that purchase motor vehicle installment sales contracts that, under existing law, any dealer...more

French Citizen Pleads Guilty To Obstructing FCPA Investigation

Last week new FCPA Chief Patrick Stokes announced that the prosecution of individuals would be a priority. This point has become a recurring theme not just in FCPA cases where the international nature of the actions can pose...more

"UK Issues Guidelines for Deferred Prosecution Agreements"

Introduction - Deferred prosecution agreements (DPAs) are now available in the United Kingdom as a means of resolving criminal investigations of certain serious economic crimes other than by guilty plea, trial or...more

CFPB highlights furnishers’ duty under the FCRA to investigate disputes

The CFPB recently issued a bulletin highlighting the obligations of debt buyers, debt collectors, and others who furnish information to credit reporting agencies (CRAs) under the Fair Credit Reporting Act (FCRA). In...more

Federal Prosecutions Can Involve Local Investigations

Four agencies team up to indict five Ohio men on federal drug trafficking charges - January 30, 2014 marked the final federal indictment of five Ohio men who were allegedly involved in cocaine-related criminal...more

Insider Trading Investigations: What To Watch for in 2014

Christopher Clark is a partner at Latham & Watkins where he represents public companies, alternative investment entities such as hedge funds, and individuals in both criminal and civil investigations involving state and...more

School District’s Refusal to Release Bullying Investigation Report Upheld

While the Freedom of Information Act [“FOIA”] generally seeks to provide access to records created by public agencies, and while anti-bullying laws require that parents be notified by a school district with regard to the...more

The Lost Art Of Conducting Effective Workplace Investigations

You are the HR leader for your organization. Whether you are an executive, a human resources professional, an attorney, an owner, or – in many cases – hold more than one of these titles, when HR issues arise, they come to...more

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