Internal Investigations

Caldwell Leslie & Proctor has significant experience conducting corporate internal investigations for our clients. Caldwell Leslie attorneys – led by former federal prosecutors and leaders of the defense bar – are experts in the field of fact gathering that is essential in this practice area. The firm is well versed in the particular considerations that must be taken into account such as discoverability of aspects of the investigation work product and establishing good faith on the part of the entity. We are aware of, and sensitive to, the special obligations created by the Sarbanes-Oxley Act for our publicly traded clients. David Willingham, a former federal prosecutor, literally wrote the ABA manual on how to conduct Upjohn warnings during the course of internal investigations.

We have been called upon to represent entities, boards, audit committees and special committees in connection with investigations of possible financial fraud, corporate wrongdoing, and similar allegations. These matters frequently involve extensive document review, analysis of electronic data, interviews of personnel, and a thorough analysis of the potential legal issues. In many cases, these matters involve interaction and negotiation with a variety of regulatory agencies.

Because the matters in which we have been involved are often not publicly disclosed, we cannot identify many of our representations in this area. However, listed under Representative Cases are examples of investigations that we have performed. We have also represented countless individuals who were targets or subjects of internal investigations performed by others. For additional information about our internal investigations practice, please contact Chris Caldwell, Michael J. Proctor or David Willingham.