Internal Investigations
Sher Tremonte conducts internal investigations on behalf of companies and counsels executives and employees involved in such investigations. The firm’s prior experience in internal investigations have involved a wide range of allegations, including securities fraud, accounting fraud, foreign corrupt practices, insider trading, market manipulation, anti-competitive market practices, tax fraud, economic espionage, and #MeToo claims. Our clientele includes corporations, boards of directors and special committees, governmental entities, nonprofit organizations, and educational institutions “from across the market” that value our “notable expertise handling investigations” (Chambers USA).
The firm’s strength in this area stems in part from our lawyers’ robust government service credentials – including a former senior trial counsel for the SEC’s Division of Enforcement, former Assistant U.S. Attorneys, a former federal defender, and a current FINRA arbitrator. This experience allows us to provide swift, diligent, and effective investigative services that minimize disruption to our clients’ operations. When an investigation has concluded, we help clients prevent future misconduct by providing a clear blueprint for compliance.
Experience
- Represented the audit committee of a public company to conduct an internal investigation concerning allegations of misconduct involving the company’s senior executive officers by a former CFO of the company.
- Represented the audit committees of both a registered investment advisor and a private equity portfolio company to conduct an internal investigation regarding financial reporting issues at the portfolio company that were identified by a former controller who claimed whistleblower status.
- Represented the audit committee of a public company to conduct an investigation to determine whether senior executives of that company aided and abetted fraudulent financial reporting by a different public company.
- Represented the board of directors of a private company to conduct an internal investigation concerning allegations of misconduct and procurement fraud involving the company’s chief technology officer.
- Represented the audit committee of a public company to conduct an internal investigation to determine whether the CEO of the company’s South American subsidiary engaged in self-dealing transactions.
- Represented the special litigation committee of a public company to conduct an investigation to determine whether the company’s outside auditors were negligent in failing to detect prior fraudulent financial reporting.
- Represented a financial institution to conduct an internal investigation concerning alleged violations of anti-money laundering statutes and regulations.
- Represented the general counsel of an Asian-based corporation accused of siphoning billions in public funds.
- Represented whistleblowers concerning alleged violations of federal securities and commodities laws.