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.
We can prepare and file registration statements with the SEC and securities bureaus for corporate issuers. We can also file ancillary documents that will aid in the success of issuance, including private ruling requests with the Internal Revenue Service. Our attorneys routinely conduct internal investigations and advise management, boards of directors, and audit committees on the establishment of compliance programs with an emphasis on the Sarbanes-Oxley Act, the Department of Justice's Principles of Federal Prosecution of Business Organizations, and the Federal Sentencing Guidelines. We strive to conduct internal investigations efficiently and with minimal intrusion into daily operations.