Investigations

 

• Domestic and international experience with investigations relating to criminal conduct, such as bribery, collusion, conspiracy, corruption, extortion, fraud, kickbacks, misconduct, money-laundering, payoffs and witness-tampering.

 

• Domestic and international experience with investigations relating to unethical conduct by governmental officials, such as bid-rigging, harassment, preferential treatment, and retaliation.

 

• Developed and implemented corporate policies, protocols and procedures to control, track and prevent such illegal or unethical behavior.

 

• Provided training for management and relevant personnel on how to identify illegal or unethical behavior, and then what to do about it.

 

• Reviewed investigative reports and statements by victims and witnesses to ensure a fair and thorough investigation.

 

• Attempted to verify all allegations, to ensure that all valid allegations had a verifiable factual basis.

 

• Interviewed, took depositions and statements from all necessary witnesses.

 

• Reviewed investigative files to ensure that all necessary documentation had been filed pursuant to established corporate policies, procedures and protocols.

 

• Provided feedback and suggested improvements in content, language and style to the relevant investigative staff.

 

• Conducted searches relevant to the investigation, using internal client databases, external background checks, law enforcement resources and security resources.

 

• Engaged and managed law enforcement, law firm and security subject matter experts (SMEs) as required to assist with the investigation.

 

• Coordinated with and informed management and relevant internal departments on the progress of the investigation.

 

• Prepared briefs, memoranda and opinions relevant to the investigation.

 

• Initiated and participated in litigation, and cooperated in governmental prosecutions, against wrongdoers.

 

• Investigations regarding unfair, deceptive, or abusive acts or practices (collectively “UDAAP”) by any individual or entity offering financial products or services to consumers, pursuant to the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), empowering the Consumer Financial Protection Bureau (CFPB) to promulgate rules about UDAAPs and the Federal Trade Commission (FTC) to enforce such rules.

 

• Investigations regarding compliance with those aspects of the 1970 (FCRA) (15 U.S.C. § 1681) now known collectively as the FTC Red Flags Rule (16 CFR Part 681), based on Sections 114 and 315 of the 2003 Fair and Accurate Credit Transactions Act (FACTA), enforced commencing on December 31, 2010 and later clarified by the 2010 Red Flag Program Clarification Act, generally concerning identity theft prevention, credit history restoration, consumer access to credit card information, enhancing the accuracy of credit reporting, limiting the use and sharing of medical information within the financial system, general consumer financial awareness and handling employee misconduct investigations, pursuant to a written Identity Theft Prevention Program (ITPP), and use of Lexis Advance.

 

• Conducted background checks and qualification investigations on contractors and subcontractors for construction and procurement projects.

 

• Use of various commercial platforms (such as Lexis Advance) and governmental and qualifications databases, including the New Jersey Open Public Records Act (OPRA).

 

• Review and revision of corporate Bank Secrecy Act (BSA)-related Anti-Money Laundering (AML) policies and procedures.

 

• Audits for compliance of corporate protocols, policies and procedures with guidelines of various regulatory entities, such as the Consumer Product Safety Commission (CPSC), Equal Employment Opportunity Commission (EEOC), Federal Communications Commission (FCC), Federal Deposit Insurance Corporation (FDIC), Federal Housing Administration (FHA), Federal Reserve System, Federal Trade Commission (FTC), Food and Drug Administration (FDA), Know Your Customer (KYC), National Labor Relations Board (NLRB), Occupational Safety and Health Administration (OSHA), Securities and Exchange Commission (SEC) and the U.S. Department of Housing and Urban development (HUD).

 

• Reviewed existing and drafted proposed corporate policies and products for compliance with banking-related state rules and regulations of the New Jersey Department of Banking and Insurance, New York State Department of Financial Services, Connecticut Department of Banking, Pennsylvania Department of Banking and Securities and the Delaware Office of the State Bank Commissioner.

 

• Representation for SEC investigations and examinations, from informal interactions to formal proceedings.

 

• Compliance with domestic preference programs such as the 1933 Buy American Act, 1979 Trade Agreements Act, and subsequent modifications thereto resulting from Executive Orders, particularly Trump Executive Order 13811 (“Maximizing Use of American-Made Goods, Products, and Materials”), which makes adjustments to the FAR 25.003 “component test” established under Eisenhower Executive Order 10582 and the FAR 25.5 “evaluation factor”.

 

    Last updated 200725_2008