Internal Investigations & Compliance

Spiro Harrison & Nelson conducts internal investigations on behalf of a diverse range of entities, including public and private corporations, corporate boards of directors, special committees, and non-profit institutions. Our investigations cover a broad spectrum, from allegations of discrimination, retaliation, and other employment-related issues, to more complex matters such as healthcare fraud, FDA violations, False Claims Act violations, environmental concerns, executive misconduct, bank and tax fraud, government contract disputes, market manipulation, and breaches of federal, state, and local laws. With extensive experience, we offer strategic counsel to clients confronting potential financial liabilities, criminal ramifications, and intricate public relations challenges.

We strive to provide clients with an efficient and cost-effective approach to investigating their matters with confidentiality, discretion, and a minimum of business disruption. We provide management and in-house counsel with comprehensive, focused reports of our findings, analysis, and recommendations. Our attorneys’ broad experience across many areas of business and government strongly positions us to help our clients devise forward-looking, preventive compliance measures and processes, including updating corporate policies and developing compliance training programs.

In addition to our work for businesses, we also advocate for individuals who are involved in investigations or seek guidance regarding compliance issues. Whether individuals are navigating inquiries from regulatory bodies, addressing allegations of misconduct, or seeking proactive advice to ensure adherence to industry regulations, we provide personalized counsel tailored to their unique needs and circumstances. Our aim is to protect their rights, mitigate risks, and assist them in navigating complex legal challenges with confidence and clarity.

Representative Matters

• Conducted an investigation into several compliance, employment, and security-related allegations at a major urban hospital.
• Advised a Fortune 500 company relating to compliance with federal and state laws and regulations affecting security on its corporate campus.
• Conducted an investigation into allegations of misconduct at high levels of municipal government.
• Conducted an investigation on behalf of client in connection with allegations related to collateralized debt obligations (“CDOs”) and credit default swaps.
• Conducted an investigation in connection with an SEC inquiry related to a public company’s accounting practices.
• Conducted an investigation in connection with allegations concerning the improper exchange of confidential information to a competitor by an employee.
• Conducted an investigation into an international bank’s compliance with Office of Foreign Assets Control regulations.
• Conducted an investigation in connection with an inquiry by the U.S. Department of Labor into allegations related to the implementation and management of an employee profit sharing plan.
• Counseled a consumer products company on compliance with state consumer fraud laws, including advice related to development of an internal compliance program.
• Counseled consumer products company on compliance with federal and international trademark usage requirements.
• Counseled medical device company in connection with 510(k) submission to the FDA related to labeling and packaging requirements.