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Internal Investigations

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The Spencer Fane Internal Investigations Practice serves organizations which face significant legal challenges due to claims of internal misconduct. The Practice Group also serves institutions with issues involving sexual misconduct such as sexual and gender-based harassment and violence, sexual assault, and child abuse.

Corporate Investigations

Corporate Investigations are conducted by an inter-disciplinary group of attorneys with particular experience in finance, securities, healthcare, environmental law, sports law, and education law.

The team is led by former federal prosecutors who are adept at unraveling legal and regulatory claims which may threaten a business. The Spencer Fane Practice Group has recently conducted internal investigations in these business sectors:

  • Accounting – Defense of accounting firms investigated by the Public Company Accounting Oversight Board
  • Anti-corruption – Foreign Corrupt Practices Act and False Claims Act investigations
  • Banking – Defense of officers and directors in OCC, FDIC and Federal Reserve investigations
  • Consumer Protection – Investigations by state attorneys general and Consumer Financial Protection Board regarding deceptive practices
  • Education Law – Defense of school boards and school districts regarding oversight responsibilities
  • Environmental – Defense of criminal investigations and prosecutions
  • Federal Trade Commission – Investigations of Truth in Lending Act violations, EFTA, internet and short term lending actions
  • Food and Drug Administration – Investigations regarding drug labeling, food safety and controlled substances violations
  • Gaming – Regulatory and compliance investigations
  • Healthcare – Health and Human Services and CMS investigations of billing fraud and illegal kickbacks
  • Occupational Health and Safety – Defense of serious injury and fatality investigations
  • Public Corruption – Defense of public/elected/appointed officials
  • Securities – Defense of targets and witnesses in SEC investigations

Institutional Responses

The Spencer Fane Institutional Response Practice works with organizations facing issues involving sexual misconduct such as sexual and gender-based harassment and violence, sexual assault, and child abuse.

The team assists clients such as universities, churches, mission boards, youth-serving organizations, non-profits, corporations, government agencies, and other institutions by directing investigations, reviewing and developing policies, and providing prevention-based training and education.

The team has extensive experience that includes:

  • Auditing organizational policies and processes pertaining to regulations governing conduct and best practices
  • Developing systems, processes, and training to help organizations achieve best practices and maintain regulatory compliance
  • Providing training and education related to sexual misconduct
  • Conducting Title IX investigations for K-12, colleges, and universities
  • Conducting high profile reviews/investigations for a range of institutions regarding institutional responses to allegations of sexual misconduct
  • Coordinating with legal or government entities conducting investigations
  • Advising organizations on an ongoing basis regarding compliance and current best practices