Internal Investigation Overview

New York Internal Corporate Investigations Lawyers

At Gallion & Spielvogel LLP, we fully understand the need for quick action and discretion in any internal investigation. As a small but highly experienced law firm, our attorneys are able to respond with the sense of urgency you require. Recognizing the complex nature of Sarbanes-Oxley requirements, GAT and STAT accounting principles, as well as issues associated with stock derivatives and business evaluations, our firm regularly works with experts in forensic accounting, finances, and taxes. We have the resources and experience needed to defend corporate boards and executives in today’s complicated business world. For more information regarding our practice and how we can help your company, contact Gallion & Spielvogel LLP today.

When the Stakes are High … Gallion & Spielvogel LLP

The Role of Truly INDEPENDENT Counsel: Nothing is more important to the protection of your company than making certain that the lawyers who conduct the investigation are truly independent. Conclusions and recommendations reached as a result of an investigation conducted by a law firm with prior relationships to the company are more vulnerable to attack by shareholders and governmental authorities.

Integrity of the Investigation: The integrity of the investigation and the value of its conclusions depend on whether the investigating attorneys are truly independent of the company and have no prior relationship to it.

Investigation Structure: It is of critical importance that the scope of the investigation and the procedures to be followed are determined immediately. The individuals who may have relevant knowledge must be identified quickly and interviewed as soon as possible.

Discretion: An internal corporate investigation can easily be one of the most sensitive issues facing a company. The company’s reputation may be at stake. Discretion is an absolute necessity. Who within the company needs to know? How can the investigation remain a private matter within the company? Do governmental authorities need to be informed? These are critical issues the company needs experienced, independent attorneys to address with the utmost discretion.

Role of Outside Directors: Are the outside directors exercising a proper degree of authority? Should a committee of outside directors be formed to oversee the investigation?

Corporation Governance: Does the company have proper internal controls in place? Have internal controls and procedures been followed? Have company management and its officers properly overseen and supervised the day-to-day operations of the company?

Employees’ Concerns: Employees have a duty to cooperate with an internal investigation. Should some employees be represented by separate counsel? The investigating attorneys must carefully consider and determine how best to respond to employees’ concerns and sensitivities.

Who Should be Involved? Investigating attorneys need swiftly to pinpoint to specific area(s) within the company where the alleged misdeeds occurred. Do the misdeeds involve a subsidiary of the company or one of its joint ventures? Who within the company has oversight responsibility?

Accounting and Reporting Issues: In many cases significant accounting irregularities must be reported in short order. Your company will need experienced attorneys who can quickly grasp the accounting and financial issues involved and who will know how to determine both the origin and scope of the irregularities quickly and discreetly

When additional resources are needed, we can add to our investigative team from a nationwide network of previously screened law firms that focus solely on the legal needs of businesses.

Located in New York City, ourĀ attorneys are available for internal corporate investigations throughout the United States.