Government Investigations

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Government investigations defense for companies facing DOJ, SEC, FTC, or state AG scrutiny, from the first subpoena through internal fact-finding to a resolution that limits both legal liability and business disruption.

A government investigation can consume a company long before anyone is charged, and the early choices about cooperation and disclosure shape how it ends. We represent companies and executives in matters before the DOJ, SEC, FTC, state attorneys general, and other agencies, controlling the process from the first contact and keeping the legal exposure and the business impact in view together.

Subpoena And CID Response

Responding to a subpoena, civil investigative demand, or informal request is where the case is often won or lost. We negotiate scope, manage collection and privilege review, and decide what to produce and what to push back on, balancing genuine cooperation against the need to protect your rights and privileged material. Done carefully, the response demonstrates good faith without handing the government a roadmap it has not earned.

Privileged Internal Investigation

Before you can respond credibly to the government, you need to know what actually happened. We conduct internal investigations under privilege, reviewing documents and interviewing witnesses to establish the facts and surface problems on your terms rather than the regulator's. That clear factual picture lets us decide whether to cooperate, contest, or self-report, instead of reacting to whatever the government raises next.

Witness And Testimony Preparation

Employee interviews and testimony can help or sink an investigation depending on preparation. We prepare company witnesses for agency interviews, depositions, and testimony so their answers are accurate, complete, and consistent with the record, without coaching them past the truth. We also counsel witnesses on their own rights and exposure, which matters when individual and company interests start to diverge.

Negotiated Resolutions

Most investigations end in a negotiated outcome rather than a trial, and the terms vary enormously. We negotiate settlements, consent decrees, deferred prosecution arrangements, and, where the facts support it, declinations, working to limit penalties, admissions, and ongoing oversight. The aim is a resolution your business can actually live with, including compliance obligations you can meet without inviting the next inquiry.

Frequently asked questions

Common triggers include whistleblower tips, customer or competitor complaints, unusual market events, routine audits, and industry-wide sweeps targeting a practice or sector. Sometimes the trigger isn't disclosed, which is why one of the early goals is figuring out what the government is actually focused on so you can respond intelligently.

Cooperation can earn credit and a better resolution, but it has to be weighed against risks like self-incrimination, waiving privilege, and exposing the company or individuals. The right level of cooperation depends on the specific facts and what the government is after. This is a strategic decision to make with counsel, not a reflex in either direction.

Usually yes. Understanding the facts before you respond to the government lets you assess your real exposure and build a coherent strategy instead of reacting blind. An internal investigation also positions you to correct problems and, where appropriate, demonstrate good faith. Structure it carefully so the work stays protected by privilege.

Protect it through careful structuring of the investigation, limiting distribution of sensitive materials, and clearly marking privileged communications. Be aware that the government may push for a privilege waiver in exchange for cooperation credit, so any decision to share privileged material should be deliberate and made with full understanding of the consequences.

You can't obstruct or discourage employees from cooperating with the government, and trying to do so creates serious additional exposure. At the same time, employees should clearly understand that company counsel represents the company, not them individually, so they can decide whether they want their own lawyer. Handling this correctly protects both the company and the employees.

Outcomes range widely, from a declination where the government decides not to pursue charges, to a negotiated resolution, to prosecution. On the civil side, that can mean settlements or consent decrees; on the criminal side, deferred or non-prosecution agreements or guilty pleas. Which way it goes depends on the facts, your exposure, and how the matter is handled.

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