Corporate Internal Investigations & Monitoring

In today’s business environment, government oversight and enforcement activities are increasing rapidly. Both internal and external scrutiny over corporate practices is at an all-time high. Against this backdrop, it is paramount for companies to conduct effective investigations of alleged misconduct and to monitor business practices. To handle these challenges, corporate clients need a law firm with first-hand experience examining and advising on the full range of complex and intricate issues that arise in the course of investigations and monitoring.

Chiesa Shahinian & Giantomasi’s Corporate Internal Investigations and Monitoring Group is comprised of lawyers who have extensive experience in representing public and private companies, boards of directors, special committees, officers and governmental entities in investigative matters. Our lawyers are often called upon by corporations and governmental agencies to investigate and provide counsel regarding internal and external allegations of misconduct, to develop remedial action plans and ethics guidelines, and to draft compliance policies and procedures. We assist clients with matters including conflicts of interest, whistleblower allegations, employee, director and management responsibilities, and regulatory compliance.

In cases where knowledge from different practice fields is required, Chiesa Shahinian & Giantomasi deploys an interdisciplinary approach to provide efficient and effective counseling to meet each client’s specific needs. By conducting thorough interviews, reviewing and analyzing documents, and preparing investigative results and action plans, we seek to identify and mitigate potential exposure before problems become major liabilities.

Our Corporate Internal Investigations and Monitoring Group includes lawyers across many disciplines, including corporate governance, securities law, mergers and acquisitions, regulatory/government affairs, health care law, environmental law and white collar criminal defense. The Group includes a former attorney general of the State of New Jersey, as well as former United States attorneys from the Department of Justice and former state prosecutors from New Jersey and New York.

Some of our recent experience includes:

  • Representation of the federal monitor appointed by the United States attorney for the District of New Jersey to monitor a major international orthopaedic device manufacturer under an 18-month term deferred prosecution agreement. During this engagement, our lawyers monitored the company’s business activities to ensure compliance with the deferred prosecution agreement, including oversight of consulting activities with physicians, and worked closely with company representatives in developing internal compliance structures and programs against the backdrop of various health care laws and regulations, including the Federal Anti-Kickback Statute. We also independently investigated numerous internal and external allegations of misconduct by company executives and other representatives
  • Representation of major financial services firms and securities brokers/dealers in internal investigations, as well as regulatory inquiries and enforcement actions by federal and state agencies and self-regulatory organizations, including the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA)
  • Internal investigation of the policies and practices of a County Park Commission on behalf of the County’s Board of Chosen Freeholders, and issuance of a public report of investigative findings and recommendations
  • Internal investigation on behalf of a national hospital system with respect to its contract procurement procedures and policies, and its compliance with applicable health care regulations
  • Representation of an officer of a commercial bank in connection with an investigation instituted by the FDIC, the Federal Reserve Board and the United States attorney for the District of New Jersey
  • Representation of a medical school's independent clinical physician faculty practice plan during the course of a two-year deferred prosecution arrangement between the United States attorney for the District of New Jersey and the major university hospital system with which the practice plan is affiliated
  • Representation of a major New Jersey accounting firm in an internal investigation and document production in response to a subpoena issued by the Internal Revenue Service
  • Representation of an orthopaedic medical device manufacturer in connection with a state investigation involving allegations of consumer fraud act violations
  • Representation of a New Jersey casino in an internal investigation in connection with a regulatory enforcement action instituted by the State of New Jersey before the Casino Control Commission
  • Representation of the board of directors of a hospital system in connection with allegations of officer and director conflicts of interest
  • Representation of the audit committee of a public corporation in connection with claims of corporate financial impropriety
  • Representation of a major national health maintenance organization in a regulatory proceeding instituted by a state’s department of insurance and related internal investigation of company practices