Corporate Governance and Investigations

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The Corporate Governance & Investigations Practice Group at Carter Conboy counsels boards of directors, special committees, and directors and officers of publicly and privately held companies with significant and sensitive corporate governance matters and investigations.

We represent clients in proceedings involving the U.S. Securities and Exchange Commission, U.S. Department of Justice, U.S. Attorney’s Offices, Department of the Treasury, Federal Trade Commission, Office of the Inspector General, State Attorneys General as well as the New York Stock Exchange, Financial Industry Regulatory Authority (FINRA) and other prosecutorial and regulatory agencies.  Our attorneys are widely regarded for their ability to develop remedial and compliance plans that appropriately respond to and comply with governmental and regulatory inquiries.

Our attorneys past involvement before and within government agencies provide us with unparalleled experience and an understanding of the procedures of the institutions which is especially advantageous to our clients.  Our practice group attorneys have the following experience: Enforcement Counsel to the U.S. Securities and Exchange Commission; Assistant U.S. Attorney of the Criminal Division of the Northern District of New York; Assistant District Attorney; General Counsel to the Division of New York State Police; Chief of the Criminal Division for the U.S. Attorney’s Office for the Northern District of New York; Chief U.S. Magistrate Judge for the Northern District of New York.

We have extensive experience managing national and international investigations involving alleged violations involving accounting and tax fraud; antitrust fraud; bank and financial fraud; bribery; business fraud; commercial and consumer fraud; corporate fraud; criminal and civil RICO matters; cross-border investigations; defense contractor fraud; Department of Labor (DOL) investigations; Division of Human Rights Investigations (NYSDHR); Equal Employment Opportunity Commission (EEOC) investigations; healthcare fraud; investment fraud; immigration fraud; insider trading; mail and wire fraud; Medicare and Medicaid fraud; money laundering; mortgage and real estate fraud; qui tam investigations; pharmaceutical fraud; U.S. Securities and Exchange Commission (SEC) investigations and enforcement actions; State Inspector General investigations; and investigations involving theft of honest services and intellectual property.

Representative Experience

  • Participation in numerous investigations of institutions, including internal and external investigations as prosecutor and regulatory enforcement attorney.
  • Co-investigated a criminal case involving a supermarket chain wherein two executives were accused of securities fraud involving a scheme to artificially enhance the company’s financial appearance by recognizing income, i.e., “pulling forward”, in a manner that was inconsistent with Generally Accepted Accounting Principles. Case coordinated with parallel S.E.C. enforcement case.
  • Managed institutional response and litigation resulting from an internal investigation into ethical breaches in a police forensic investigation center, including reporting mandates to the American Society of Crime Laboratory Directors (“ASCLD”) and the State Inspector General, disclosures to District Attorneys, and appearance before the New York State Commission on Forensic Science.
  • Successfully worked with public interest groups to formulate and implement religious-based reasonable accommodation policy, and clarified immigration enforcement policy and monitored practices.
  • Served as a representative on a Division of Criminal Justice Services panel to formulate a Model Use of Force policy.
  • Served as the Asset Forfeiture and Money Laundering coordinator and provided guidance and policy to the United States Attorney’s Office.