White Collar Defense and Internal Investigations

"Very thorough, great communication and excellent legal experience." "Tremendous counsel with a great track record - they are a cut above the rest."
Chambers USA, 2013, NJ and CT Litigation: General Commercial

Day Pitney has the resources, skills and experience necessary to protect our clients' interests whenever they are confronted by a governmental investigation, whether at the local, regional, national or international level. Our clients include Fortune 100 corporations, private companies, universities and individuals. We have also conducted swift and conclusive internal investigations for our clients and have helped them strengthen their regulatory compliance programs and ethics plans.

Defending Criminal and Regulatory Probes

Members of our White Collar Defense/Internal Investigations practice group include: a former U.S. Attorney, former federal prosecutors from New York and Connecticut, and former state prosecutors from New Jersey and New York. That experience translates into valuable credibility with government authorities and regulators and real-world know-how that enables us to provide the practical guidance our clients need.

Day Pitney has defended hundreds of corporate clients and individuals in complex grand jury investigations, many of which involved parallel regulatory investigations and civil lawsuits. Our experience in this arena is diverse. For example, we defended a corporate client in a federal criminal environmental trial that spanned months while, in connection with an Enron Task Force settlement, we were selected by the U.S. Department of Justice to serve as the federal monitor of an international bank.

We have defended individual and corporate clients in numerous high-profile federal and state criminal investigations involving alleged violations of the securities, health care, tax, antitrust, environmental, political corruption, the Foreign Corrupt Practices Act (FCPA) and the Racketeer Influenced and Corrupt Organizations Act (RICO), among others. We have represented broker-dealers, investment advisers, hedge funds, public companies, private companies and individuals in connection with investigations and enforcement actions by the U.S. Securities and Exchange Commission, the New York Stock Exchange, the Financial Industry Regulatory Authority and state securities agencies and regulators.

Conducting Internal Investigations

When whistleblowers, internal compliance efforts or government inquiries raise the specter of possible criminal activity or misconduct, companies engage Day Pitney to launch prompt and thorough internal investigations. We have conducted investigations in numerous substantive business areas, including corporate governance, insider trading, money laundering, bribery, embezzlement, environmental and accounting issues. Our investigative team includes lawyers with experience as in-house counsel. We understand the pressures and practical problems investigations present, and know how to assist senior management and boards in making timely and sound decisions.

Preventing Problems from the Start

When an investigation reveals weaknesses in oversight, we offer guidance on preventative measures. We have recommended comprehensive compliance programs and enhancements covering a broad array of topics ranging from Occupational Safety and Health Administration (OSHA) and environmental matters to FCPA and export compliance matters.