Corporate and Litigation Support Investigations
We initially assess the nature of your needs and then prepare an outline of the scope of work and procedures to be performed. After an initial review of relevant data referred by you or your legal counsel, we formulate an appropriate work approach and plan of investigation tailored to your needs and responsive to the proposed scope of work.
Our approach includes working closely with your management, general counsel, and/or outside lawyers, throughout the engagement process to ensure our final product or deliverable meets or exceeds your and/or your counsel’s expectations.
Unless advised otherwise, it is our practice to provide relevant updates as “Privileged & Confidential Work Product Prepared for Counsel”, and to prepare a written report containing the results of the investigation formatted as follows: an executive summary of key findings, details of investigative findings, conclusions and recommendations on how best to proceed going forward.
We have conducted global investigations for corporations, including Global Fortune 500 companies, and religious organizations in the following areas:
- Whistleblower complaints and allegations
- Procurement fraud, including vendor kickbacks and conflicts of interest
- FCPA risk-based compliance assessments
- Compliance AML function risk based audit work and AML assessment focusing on transactions reviews, analysis and testing
- Financial institution and mortgage lender fraud
- Business intelligence gathering procedures – “Due Diligence Investigations” - on individuals and companies
- Court-ordered compliance monitoring
- Brand protection (anti-counterfeit) investigations
- Clergy misconduct claims and allegations
Sampling of our Investigative Services Experience
- A forensic accounting investigation for a global pharmaceutical company to assist external Counsel in an anti-corruption corporate investigation involving cash-equivalent incentives paid to pharmacies and large retail clients for promotional purposes in Colombia. These efforts involved conducting interviews and analyzing financial data from the company´s accounting system and transactional testing using a risk-based judgmental analysis.
- Forensic accounting investigations in the energy, manufacturing, mining and Oil & Gas industry. Among the issues addressed in these investigations, were financial statement reporting fraud, FCPA regulations compliance, procurement fraud, vendor kickbacks, conflicts of interest, and whistleblower allegations. The investigations encompassed business intelligence procedures (“background checks”) on certain subject(s), data analysis of accounting records, third-party payment analysis, transactional testing, analytics forensic technology procedures, and interviews of key personnel.
- A review, as a controller, of Compliance AML function risk based audit work executed by internal audit staff of a global bank in Latin America; the scope of the work was to ensure compliance with internal audit methodology, which included certifying thoroughness of audit work papers and supporting documentation, in support of publishing audit report findings to U.S. and host country regulators.
- An in-depth AML focused investigation for the compliance committee of a large global gaming company based in Latin America that involved analyses (“look backs”) of significant international banking transactions including various accounts with U.S banks and international corresponding banks. The findings of our investigation refuted allegations levied against the client’s firm that it was involved in money laundering activity.
- Served as an expert witness consultant for a law firm in Los Angeles that included providing expert witness testimony on money laundering in connection with a Civil Rico case. Our efforts were instrumental in the parties reaching a pre-trial case settlement.
- A fact-gathering investigation for large U.S. insurance company that included the collections of documentary videotaped evidence, and providing testimony at criminal trial. Our efforts were instrumental in securing a criminal conviction against the defendant charged with submitting numerous fraudulent insurance claims.
- A fraud investigation for a national mortgage lender company which involved extensive interviews of internal and external employees, review of the loan manager’s relationship with referral sources, review and analysis of relevant mortgage loan files, internal documents and e-mails. The investigation resulted in the dismissal of loan manager for conflict of interest and complicity with real estate agents in originating fraudulent loans.
- A fact-finding investigation, for a U.S. based Catholic religious order in South America involving allegations of clergy sexual abuse and of orchestrating bogus complaints against other priests.
- A brand protection (anti-counterfeit) investigation, for a global Fortune 500 U.S. based auto maker in Mexico.
- A County court-ordered monitoring investigation related to a final judgment and injunction against Client Company.
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For questions or a consultation, please call 949-340-2575 or use the button on the right.