Internal Investigations

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Kutak Rock conducts internal investigations for companies of all sizes, from small businesses to large corporations, boards of directors and special committees, to detect malfeasance and address whistle-blowers and other allegations of misconduct. We also help clients avert litigation, regulatory action and criminal prosecution. Our internal investigations address such issues as allegations of financial fraud, theft of corporate funds, loss prevention, misappropriation of corporate secrets, violation of non‑compete clauses, and violations of securities, tax, employment and antitrust laws.

Many recent corporate governance cases have demonstrated that it is advisable for companies, officers and directors faced with allegations of wrongdoing or ethical irregularities to hire independent outside counsel, different from their regular outside counsel and their inside attorneys, to perform independent fact‑finding and provide unbiased recommendations. In conducting internal investigations, we are sensitive to issues of attorney‑client and work product privileges and conflicts of interest.

Kutak Rock’s Internal Investigations Group also provides advice and guidance on business ethics, Sarbanes-Oxley and other corporate governance policies, federal debarment regulations, securities regulations of the Securities and Exchange Commission and the self-regulatory organizations such as Financial Industry Regulatory Authority (FINRA), and state securities, insurance and trade practice regulations. The group regularly develops and advises clients concerning effective compliance programs and risk management strategies.  The following illustrates a small sample of the firm’s past and present engagements:

  • On behalf of a Fortune 100 company, we investigated allegations of wrongdoing and unethical conduct by a vendor and former employees.
  • For a Fortune 500 corporation, our attorneys investigated allegations of perjury by an employee.
  • For a major stock brokerage firm, we investigated alleged insider trading by employees.
  • We investigated misappropriation and diversion of funds by financial professionals.
  • Our attorneys investigated alleged insurance and reinsurance fraud on behalf of a Fortune 500 corporation.
  • We investigated alleged market manipulation and fraud on behalf of a regional stock brokerage firm.
  • For a national accounting firm, we investigated allegations of fraudulent preparation of tax returns and alleged fabrication of documents submitted to the Internal Revenue Service.