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John Ruark
Paul Uhlenhop
Michael Wise
In the financial services industry, the need for an internal investigation generally arises in one of two contexts – as part of a client’s ordinary review and management procedures, or in response to suspicious activity, brought to light by a company employee or customer or as the result of an agency inquiry or investigation.
Our attorneys’ experience working for the SEC and self-regulatory organizations helps us to design and quickly conduct discreet, comprehensive and meticulous inquiries. The information obtained through these investigations assists our clients in structuring responses to limit or avoid liability to third parties or regulators, and in implementing corrective policies and procedures of the area under investigation.
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