Overview

Businesses in today’s legal environment must be vigilant to stay ahead of the difficult regulatory and employment challenges that multiply as their organizations grow. Self-audits are becoming increasingly necessary to minimize the risk of potentially crippling litigation down the road, and problems inevitably crop up on their own--even in the most structured and ethical business environments. In either situation, organizations often look to outside counsel to investigate, both to bring in specialized investigation skills and legal expertise, and to ensure the objectivity and independence that only an outside legal team can offer.

THE INTERNAL INVESTIGATIONS PRACTICE AT FREDRIKSON & BYRON

The lawyers at Fredrikson & Byron have significant depth and breadth of experience organizing and leading internal investigations on behalf of their clients. Our team includes litigators and business lawyers with expertise in employment, regulatory, white collar, securities, business law, health law, immigration, and corporate governance, as well as dedicated support staff to help guide any investigation through the collection of documents and electronic data.

We have the resources to help companies develop an investigation plan that is sensitive to their needs, carry out an efficient and effective investigation, provide an objective report, and guide our clients through the difficult questions that might result, including: whether to modify the company’s code of conduct and other compliance initiatives to address new regulations or prevent existing problems from recurring; whether to discipline employees who have engaged in misconduct; whether to voluntarily report possible regulatory violations to government officials; and whether to pursue legal action against those who have committed offenses against the organization. Our goal is to help companies identify, evaluate and resolve potential lapses in compliance and address them before they develop into more serious legal concerns.

Services

We assist companies that are conducting a proactive audit of compliance policies, or need to respond to specific allegations of misconduct. We routinely conduct investigations both for clients with concerns about their own compliance, and for clients seeking information about whether they have been injured by the legal offenses of others.

We represent corporations, partnerships, nonprofits, public entities and other organizations of all types and sizes.

We can investigate issues arising in a wide variety of areas of the law, including, to name only a few:

• Embezzlement
• Fraud
• Bribery and Kickbacks
• Securities Fraud
• Theft of Trade Secrets
• Money Laundering
• Academic Fraud
• Immigration Violations
• Foreign Corrupt Practices Act Compliance
• Healthcare Fraud
• HIPAA Compliance
• Healthcare Reimbursement
• Employment Discrimination
• Sexual Harassment
• Executive Compensation
• Conflicts of Interest and other Corporate Governance Issues
• Other Violations of Statutes, Regulations or Company Policies

REPRESENTATIVE INVESTIGATION EXPERIENCE

Regulatory

• Acted as independent counsel for publicly-held corporation to investigate potential fraud and accounting irregularities. Advised corporation’s audit committee regarding communications with the SEC, the DOJ, external auditors and others.
• Worked on behalf of Indian tribal authorities to investigate potential regulatory offenses in its Community Development Department. Furnished lengthy investigation report to tribal officials and served as primary contact with the United States Attorney and the Department of the Interior.
• Worked with audit committee of medical device company to investigate whether its employees were using trade secrets taken from former employers. Developed investigation report and recommendations to audit committee regarding employee training and compliance with policies on confidentiality and trade secrets.  
• Investigated embezzlement against medical device company by its IT director. Helped company develop civil lawsuit against the employee and worked on behalf of company to assist prosecutors in developing related criminal case.
• Conducted internal investigation in the United States and China on behalf of medical device company to evaluate whether its distributors had violated the Foreign Corrupt Practice Act. Produced report to client regarding investigation findings and recommendations and developed a strategy concerning government disclosures.
• Conducted investigations on behalf of academic institution on various issues, including possible research fraud, construction contract awards, and potential environmental violations, and prepared reports for General Counsel and academic review panels.
• Prepared report on behalf of accounting firm for government officials concerning trade secrets theft against the company by former employees.
• Investigated employee’s whistle-blower claims against publicly-held corporation related to security of customer financial data and other compliance issues. Reported findings to board chairman and company management.

Employment

• Conducted independent investigation into age and religion discrimination allegations against senior executive at a large, privately-held company.
• Conducted independent investigation of sexual harassment allegations against senior executive at a publicly-traded company.
• Conducted independent investigation of sexual harassment allegations against public official.

Health

• Investigated allegations of Medicare fraud at healthcare company planning an IPO.
• Assisted hospital with employee who reported concerns about billing Medicare for one-day stays. Evaluated claims under Medicare guidance and determined that for most encounters no refund was necessary. Worked with accounting firm to determine refund amount for the few encounters where appropriate.
• Assisted clinic that submitted refund to Medicare for services billed “incident to” physician services. Determined no refund was legally required and prepared letter to Medicare explaining analysis. Handled subsequent litigation instigated by Medicare for additional alleged overpayments, and obtained judgment returning to clinic all amounts it had previously refunded.
• Aided many clinics and hospitals with Medicare Evaluation and Management (E&M) reviews. Helped clients in each case evaluate whether the services were billed appropriately, or whether the services were over-coded, making a refund appropriate.

Corporate Governance

• Conducted internal investigation of stock-option backdating for publicly-held Silicon Valley tech company.
• Investigated management compensation as special board committee for privately-held company embroiled in shareholder dispute.
• Retained by audit committee of Fortune 1,000 company to investigate allegations of financial misconduct. Reported results to board and SEC.

Immigration

• Conducted review of target company’s I-9 files, H-1B public access folders and PERM audit files as part of M&A due diligence and prepared assessment of liabilities.
• Reviewed company’s I-9 policy and procedures for compliance, conducted internal I-9 audit of company’s I-9, and conducted I-9 compliance trainings.
• Represented Fortune 500 company in I-9 investigation conducted by Department of Homeland Security involving more than 40,000 employees and offices across the United States.
• Represented company in Department of Labor H1B audit and investigation.

Bios

REGULATORY

Matthew T. Boos
Dulce J. Foster
Thomas S. Fraser
Sharon K. Freier
David M. Glaser
Richard H. Kyle, Jr.
David L. Lillehaug
John W. Lundquist

EMPLOYMENT

Robert C. Boisvert, Jr.
Mary M. Krakow
Anne M. Radolinski
Karen G. Schanfield
Teresa M. Thompson

HEALTH

Dulce J. Foster
Thomas S. Fraser
David M. Glaser
John W. Lundquist

CORPORATE GOVERNANCE

Matthew T. Boos
Dulce J. Foster
Thomas S. Fraser
Lousene M. Hoppe
John W. Lundquist
John H. Stout

IMMIGRATION

Loan T. Huynh
Debra A. Schneider

LITIGATION SUPPORT

Oliver Fuchsberger