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Corporate Governance and Investigations

New York Corporate Governance Attorneys

At Carter Conboy, our Corporate Governance team 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.

Accomplished Corporate Governance Attorneys

At Carter Conboy, our preeminent and comprehensive Corporate Governance team is unmatched. We present skill and proven results from all sides of the courtroom—from our accomplished defense attorneys, to our former prosecutors, to our retired trial judges—delivering the knowledge and perspective to protect and defend you.

As former federal prosecutors with decades experience from the U.S. Department of Justice, U.S. Securities and Exchange Commission, and the Federal Bench and State Bench, our Corporate Governance team possesses experience and insights into the very institutions commencing investigations against our clients. 

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 Corporate Governance team includes attorneys with the following defense, prosecutorial, and judicial experience:

  • Assistant U.S. Attorney, Criminal Division, Northern District of New York
  • Assistant U.S. Attorney, Civil Division, Eastern District of Michigan 
  • Enforcement Counsel, U.S. Securities and Exchange Commission
  • District Attorney and Assistant District Attorneys
  • General Counsel, Division of New York State Police
  • Trial Attorney, Criminal Division, U.S. Department of Justice
  • Chief of the Criminal Division, U.S. Attorney’s Office, Northern District of New York
  • Chief U.S. Magistrate Judge, Northern District of New York
  • Justice, New York State Supreme Court
  • Judge, Appellate Division, Third Department
  • Administrative Judge, Third Judicial District

Our Corporate Governance Clients

At Carter Conboy, our attorneys counsel 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.  

Comprehensive Legal Services

We have extensive experience managing local, national, and international investigations related to alleged violations of:

  • 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
  • Intellectual property
  • Mail and wire fraud
  • Medicare and Medicaid fraud
  • Money laundering
  • Mortgage and real estate fraud 
  • Qui taminvestigations
  • Pharmaceutical fraud
  • Theft of honest services
  • S. Securities and Exchange Commission (SEC) investigations and enforcement actions
  • State Inspector General investigations

Notable Experience and Results

  • Participated in numerous investigations of institutions, including internal and external investigations as prosecutor and regulatory enforcement attorney
  • Co-investigated 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

Beyond Corporate Governance and Investigations

At Carter Conboy, we are able to support you beyond your corporate governance matters.  Our team of experienced and dedicated attorneys, combined with our diversified practice spanning 20 industries and 40 service areas, have you covered.  From helping with a real estate matter, to defending you in litigation, to protecting your business interests, the strength of our team is the answer to your many legal needs.