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Internal Investigations

Wargo French Singer’s internal investigations team has extensive experience in handling internal and regulatory investigations related to workplace issues, fraud, embezzlement, antitrust, securities improprieties and data security breaches. Our attorneys are responsive to the urgent needs of a corporate environment by conducting thorough investigations in a manner that both meets our clients’ objectives and is pragmatic. We work with in-house counsel, senior management, boards, and special investigations committees to develop and implement work plans and corporate compliance programs.

Objective and impartial, our attorneys guide businesses through troubled times by conducting meticulous investigations that will protect the attorney-client privilege and work product, while maintaining the confidential nature of the investigation.  Our attorneys quickly identify the scope of the issues in order to help mitigate weaknesses in business operations. We utilize superior document management resources for the collection and review of documentation, conduct thorough witness interviews, and provide expert analysis at every step of the investigation process. Our clients include companies in the financial, insurance, and technology industries.

WFS is value-add focused and has a proactive approach to handling internal investigations and auditing.

THE FOLLOWING EXAMPLES ARE INDICATIVE OF THE TYPES OF INTERNAL INVESTIGATIONS MATTERS WE’VE HANDLED:
  • Conducted internal investigation of regulatory, employment, and tax compliance issues for international entity following corporate reorganization and stock sale, interviewing key personnel and reviewing core documents to uncover close to $100 million in contingent liabilities that could later be pursued against seller. Presented findings to board of directors.
  • Conducted internal investigation into allegations of sex discrimination and harassment by management, for client nation-wide medical practice(s) and associated technology services company. Interviewed dozens of witnesses, reviewed internal documents, and prepared comprehensive report on veracity of allegations, potential areas of legal liability for client, and suggested steps to protect against future employee claims.
  • Investigated suspected insurance fraud ring in which company employees and agents were allegedly using access to company systems to stage insurance losses for personal gain.
  • Conducted internal investigation on behalf of major global securities and investment banking group into allegations of misappropriation of proprietary trading software and presented investigation’s findings to FINRA, which resulted in no action being filed against company.
  • Conducted internal investigation on behalf of a Fortune 500 data company related to allegations by the New York Attorney General over data breaches that resulted in no charges being filed and development of portable device incident response plan.
  • Conducted internal investigation on behalf of major New York-based university into allegations of improper pricing of student health insurance.
  • Conducted internal investigation on behalf of Spanish-language media company into allegations that senior executives had misused travel and expense accounts.
  • Conducted internal investigation on behalf of multinational telecommunications company into allegations of stock option backdating and earnings manipulation.
  • Represented a mid-sized technology services company in connection with an internal investigation of embezzlement by the company’s office manager, which ultimately resulted in the company’s recovery of 100% of the embezzled funds.
  • Represented an international steel processing company in connection with an internal investigation of accounting irregularities and associated embezzlement by a subsidiary company’s controller and coordinated the client’s cooperative efforts with the local U.S. Attorney’s office, resulting in the controller’s conviction.
  • Conducted investigation and financial audit on behalf of star professional athlete pursuant to suspected breaches of fiduciary duties and potential IRS disclosures; engagement required work with big-four accounting firm under Kovel arrangement.
  • Conducted internal investigations pursuant to alleged athletic compliance infractions on behalf of NCAA member.
  • Conducted investigations of alleged sexual harassment and sexual assault on behalf of colleges.

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