Internal Investigations & Compliance Attorneys in New Jersey & New York

Spiro Harrison & Nelson LLC conducts internal investigations on behalf of public and private corporations, corporate boards of directors and special committees, non-profit institutions, and other entities. We have investigated allegations of discrimination, retaliation, and other employment issues, as well as allegations involving healthcare fraud, FDA violations, False Claims Act violations, environmental issues, executive improprieties, bank fraud, tax fraud, government contracts, market manipulation, and violations of other federal, state, and local laws. We have experience advising clients facing potentially significant financial loss, criminal exposure and challenging public relations issues.

We strive to provide clients with an efficient and cost-effective approach to investigating their matters with confidentiality, discretion, and a minimum of business disruption. We provide management and in-house counsel with comprehensive, focused reports of our findings, analysis, and recommendations. Our attorneys’ broad experience across many areas of business and government strongly positions us to help our clients devise forward-looking, preventive compliance measures and processes, including updating corporate policies and developing compliance training programs.

In addition to our work for businesses, we represent individuals who are involved in investigations or who need advice concerning compliance issues.

Representative Matters:

  • Conducted an investigation into several compliance, employment, and security-related allegations at a major urban hospital.
  • Advised a Fortune 500 company as to compliance with federal and state laws and regulations affecting security on its corporate campus.
  • Conducted an investigation into allegations of misconduct at high levels of municipal government.
  • Conducted an investigation on behalf of client in connection with allegations related to collateralized debt obligations (“CDOs”) and credit default swaps (“CDS”).
  • Conducted an investigation in connection with an SEC inquiry related to a public company’s accounting practices.
  • Conducted an investigation in connection with allegations concerning the improper exchange of confidential information to a competitor by an employee.
  • Conducted an investigation into an international bank’s compliance with Office of Foreign Assets Control regulations.
  • Conducted an investigation in connection with an inquiry by the U.S. Department of Labor into allegations related to the implementation and management of an employee profit sharing plan.
  • Counseled a consumer products company on compliance with state consumer fraud laws, including advice related to development of an internal compliance program.
  • Counseled consumer products company on compliance with federal and international trademark usage requirements.
  • Counseled medical device company in connection with 510(k) submission to the FDA related to labeling and packaging requirements.