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“The only way to stop the flow of this dirty money is to get tough on the bankers who help mask and transfer it around the world.  Banks themselves don’t launder money, after all: people do.” –Robert Mazur, former federal agent 

Fraud and other financial crimes have historically plagued the financial services industry and remain a substantial concern. Whether it’s a “bad apple” on the inside or an external threat, financial institutions must have reliable professions to help them navigate the highly regulated and, unfortunately in some cases, corrupt landscape.

When issues arise with regulators, employees, business partners, or adversaries in litigation, financial services companies must respond swiftly and decisively to allegations of external or internal corruption. Independent counsel forms a crucial element of that response—ensuring the integrity of the investigation and avoiding conflicts of interest.

We help our clients navigate a variety of controversies, including:

  • Corruption Allegations
  • Crisis Management
  • Enforcement & Remedial Actions
  • Regulatory Inquiries & Exams
  • Whistleblower Lawsuits

Our team designs and conducts internal investigations for companies facing the regulatory, reputational, or litigation risks presented by corruption allegations. We counsel financial institutions through crisis, often working with boards, corporate security, or risk management departments, to discover the truth and to defend the company in a variety of forums.

Our lawyers understand the sensitivity and diplomacy required to interact with internal actors, as well as regulators, law enforcement, and the media. As counsel, we support management and corporate boards by:

  • Determining whether an internal investigation needs to take place
    Conducting effective employee interviews
  • Organizing and reviewing documents pertinent to the internal investigating
  • Coordinating parallel criminal and civil proceedings that may arise in connection with or in response to the internal investigation
  • Interacting with  government agencies
  • Understanding the context of specialized circumstances in internal investigations, including shareholder litigation, counterparty litigation, securities cases, among others
  • Stopping the corrupt conduct to prevent further violations
  • Memorializing the company’s good-faith response to facts as they become known
  • Promoting a culture of transparency and compliance throughout the organization
  • Counseling corporate leadership and ensuring informed decisions

We have guided large and small financial services companies through allegations of fraud, bribery, and corruption. We have defeated whistleblower lawsuits at the motion to dismiss stage. We have counseled on sensitive personnel matters, crafted responses to regulatory inquiries, and managed enforcement and remedial actions, all while maintaining the highest levels of discretion.  

In short, you can rely on us to help you manage turbulent times.