Read Locke Lord's Internal Investigations Brochure
Read "The Foreign Corrupt Practices Act At a Glance"
Locke Lord has spent decades representing corporations, their officers, directors and employees in white collar criminal defense matters and internal investigations.
With a client base ranging from Fortune 100 and publicly traded companies, to small businesses and nonprofits, to members of corporate management teams and leading executives, our lawyers have broad knowledge in a host of different industries.
Our team includes former federal and state prosecutors – including two former U.S. Attorneys. This depth of experience allows us to fully understand the regulatory concerns of key government agencies and mitigate the impact of government enforcement for our clients.
We have represented clients in white collar criminal cases and internal investigations in the fields of banking, health care, insurance, securities, finance, manufacturing, bankruptcy, consumer fraud, energy, environmental, government contracts and many others. Our lawyers are experienced in antitrust enforcement, Foreign Corrupt Practices Act (FCPA), options backdating, public corruption, customs violations – including export and import criminal violations – bank fraud, tax fraud, commercial bribery, money laundering, forfeitures, mail and wire fraud, computer fraud and virtually any business or economic criminal allegation.
Locke Lord’s experience at the highest levels of the federal government offers clients unique insights into the complex world of securities regulation and enforcement. We have a strong track record of persuading the SEC to walk away from investigations of our clients. Should charges be brought, we have a proven record of taking institutional and individual SEC enforcement actions to verdict. In addition to public companies and executives, we represent broker-dealers and investment advisers, private equity and asset managers, as well as accountants and auditors who face issues before the Public Company Accounting Oversight Board (PCAOB).
From defending major insurance and reinsurance companies against allegations of accounting irregularities to representing corporations that market and sell pharmaceuticals, Locke Lord’s experience is comprehensive. We help clients with grand jury investigations, public relations and strategic planning all the way through to aggressive courtroom defense if necessary.
Our lawyers have won acquittals in many U.S. federal and state white collar cases and represented a number of energy executives and traders, including several individuals targeted in the Enron investigation. The Financial Times has praised our innovative lawyering on behalf of our clients.
Whether clients face regulatory inquiries, subpoenas or investigative demands, our goal is to investigate, understand the nuances and resolve matters before criminal charges are filed. Lawyers in our white collar criminal defense and internal investigations practice work closely with Locke Lord colleagues in other specialties to ensure a multidisciplinary approach to these traditionally controversial – and often high profile – cases.
We have decades of experience conducting internal investigations on behalf of audit or special committees of public and private companies. We know internal investigations involve sensitive matters, and we work discreetly and quickly to discover the facts and report them to our clients. Our lawyers also help clients devise policies and procedures to protect them in the future.
When our clients are the subjects of internal investigations, we help them respond appropriately. Our experience with internal investigations covers a broad range of topics, including financial accounting, federal securities laws and regulations, transactions with related parties, FCPA violations, regulatory compliance and shareholder derivative demands.
In 2017, several of our lawyers received recognition by Chambers USA Guide and The Best Lawyers in America.
The District Court of Hong Kong acquitted Sin Chung Yin Ronald (Sin) and IPFUND Asset Management Limited (IPFUND) of all charges with costs awarded in our clients' favor, in proceedings brought by the Securities and Futures Commission (SFC).