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Financial Services

Investigations

Butzel Long's investigations team structures and conducts internal investigations involving a wide-range of potential or suspected wrongdoing by company employees, management, and/or third parties.  We counsel a wide-range of financial institutions, including broker-dealer firms, hedge funds, investment advisory firms, investment banks, mutual funds, and other registered funds, and their directors, officers, and executives.  We guide clients through investigations and proceedings brought by FINRA, the SEC,  and regulatory agencies created under the 1933 and 1934 Acts, the Investment Company Act of 1940, the Investment Advisors Act of 1940, the Commodity Exchange Act, and state securities laws.  Many of our successes never became public record because we convinced prosecutors and investigators that our clients were either not involved in any wrongdoing or that the alleged misconduct was unsubstantiated.