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Maynard, Cooper & Gale's Compliance and Investigations practice group has experience in the evaluation and design of compliance programs, in conducting routine audits as well as sensitive internal investigations, and in representing large and small companies and executives in a variety of federal and state investigations and/or prosecutions and related civil litigation, in the following areas:
- Life, Health and Directors' and Officers' Insurance
- Health Care
- Environmental
- Financial Institutions
- Antitrust
- Labor and Employment
- Foreign Trade Controls
- Government Contracts
- Shareholder Derivative Class Actions
- Securities, Sarbanes-Oxley and Insider Trading
The firm's Compliance and Investigations attorneys regularly advise clients regarding the following:
- Developing and/or enhancing corporate compliance programs in accordance with federal and state laws and industry regulatory guidelines
- Corporate structuring, fiduciary duties, roles of directors and officers, observance of corporate formalities, accounting best practices, and record-keeping with a focus on areas of increased risk/exposure to government investigations and/or civil litigation
- Conducting internal reviews and assessments in areas of critical operations and governance functions
- Assisting in meeting requirements of Sarbanes-Oxley and related laws and regulations
- Advising/assisting with internal audits in advance of anticipated Federal and State government inquiries/investigations
- Preparing clients for interviews with government officials
- Assisting with or developing responses to government subpoenas
- Representing individuals and companies in investigations by DOJ, FBI, SEC, OFAC, Congress, FINRA and other regulatory bodies or government entities
- Defending individuals and companies in prosecutions by government entities
Representative Compliance and Investigations matters include:
- Conducted an internal investigation on behalf of a financial institution relating to loan officer fraud and assisted client with responding to information requests from government regulators
- Conducted internal investigations on behalf of public company regarding potential insider trading by employee
- Conducted numerous workplace harassment investigations including sexual harassment and race harassment allegations in several industries from heavy manufacturing to light manufacturing to healthcare service providers and financial service industries
- Conducted an internal investigation into activities of a Board member on behalf of a municipality
- Conducted an internal investigation and participated in regional audits of a nationwide life insurer in reviewing sales practices of captive agents
- Drafted and assisted in the establishment, monitoring and auditing of compliance plans for several hospitals and large physician groups in Alabama
- Drafted foreign trade controls compliance programs and conducted internal investigations of potential violations of U.S. export laws and economic sanctions programs. Where necessary, assisted clients with the submission of voluntary disclosures to appropriate departments of the U.S. Government
- Represented clients in investigations by the U.S. Securities and Exchange Commission relating to complex financial transactions
- Defended officers and directors, accountants and other outside third parties in multiple shareholder derivative class action and third-party claims against public companies
- Advised a large financial institution regarding its legal responsibilities following a data security breach at one of its vendors involving customers' personal information
- Drafted antitrust compliance programs and conducted antitrust audits of companies and trade associations to insure compliance with the antitrust laws
- Defended companies and individuals in grand jury proceedings (witness preparation, negotiations with prosecutors, production of documents requested by subpoena, etc.)
- Represented corporations in Federal Trade Commission investigations
- Negotiated with insurance and securities regulators in Alabama, Mississippi, and Florida in resolving investigations of sales practices by insurance companies, broker dealers, brokers and agents
- Negotiated with combined federal and state prosecution team to avoid indictment of client in investment fraud investigation that had resulted in a number of criminal indictments and convictions of other parties
- Assisted with a government investigation involving allegations of fraud, waste and abuse, and later acted as the “hotline” for reporting of wrongdoing in government contracting with the U.S. Air Force
- Represented major manufacturing corporation in criminal investigation related to environmental and workplace health and safety practices, avoiding debarment from government contracting and negotiating favorable global compliance agreement with the Environmental Protection Agency
- Conducted internal investigation of allegations of data manipulation and fraud against the government for environmental testing laboratory, advising executive management on strategy to mitigate potential liability
- Investigated pricing practices of wholesale distributor in light of Securities and Exchange Commission investigation of alleged financial fraud and overstatement of income and advised executive management on legality of practices and potential liability
- Represented a client in connection with a Fair Lending investigation by a Federal regulatory agency and the U.S. Department of Justice
- Assisted in investigation of multi-million dollar employee fraud in financial services company and prepared fidelity bond claim in response to same