Financial Investigations

Investigations of financial institutions and their directors and officers by regulatory, investigative and prosecutorial agencies are on the rise and all signs indicate that this trend is likely to continue. In response to this ongoing trend as well as other unprecedented developments in the global financial markets, Holland & Knight has assembled a "go-to" team of lawyers and professionals to counsel clients on the issues, challenges and opportunities faced by financial institutions and their directors and officers. By tapping on the knowledge of lawyers across the firm with the most appropriate experience, Holland & Knight is well-positioned to assist clients with government investigations, proceedings and prosecutions.

Working in collaboration with forensic accountants, CPAs and skilled financial professionals, our Financial Investigations Team can help you meet the challenges of financial investigations, including conducting due diligence investigations, internal investigations, and establishing and maintaining risk management and mitigation protocols. Our skilled lawyers and professionals can help you to be proactive and prepared and can likewise assist if you are already the subject of an investigation.

Diverse Experience on a National Platform

Our attorneys have extensive experience working with regulatory, investigative and prosecutorial agencies at both the state and federal levels. In fact, our team of more than 25 seasoned lawyers includes former U.S. attorneys, a former deputy chief of staff to the attorney general, former U.S. Securities and Exchange Commission chief trial counsel, as well as former senior members of U.S. attorney offices and senior staff from the Department of Justice.

Investigations and Compliance Service

Our Financial Investigations Team features members of the firm’s Investigations Group, which includes full-time investigators with extensive federal law enforcement experience. This group can provide you with a broad range of integrated investigative, corporate compliance and consulting services.

In addition, working in collaboration with the firm's Compliance Services Team, we can provide you with assistance in addressing allegations of fraud, misconduct and corruption; developing, implementing and enforcing compliance plans; handling compliance issues and audits; conducting internal investigations and determining other preventative actions.

We can also assist you with:

• asset location and valuation
• audit committee and special committee investigations
• corporate investigations, including internal investigations and government-imposed investigations
• establishing fraud prevention and compliance programs
• Foreign Corrupt Practices Act (FCPA) investigations
• fraud investigations and forensic accounting challenges
• information gathering and analysis
• privacy and data security
• regulatory inquiries and compliance concerns

Banking and Securities

Members of our team have in-depth banking and securities experience and, in concert with our firm’s Financial Services Practice Group, we can provide proactive counsel and support to help you navigate the current economic crisis and ensuing challenges.

Cutting-Edge Experience

Our attorneys have handled a wide range of high-profile matters from many different perspectives and consequently recognize the special needs that arise in controversial cases. Our recent experience includes:

• the largest bank fraud case in U.S. history
• an SEC investigation into Internet fraud
• serving as special impeachment counsel for the U.S. House of Representatives
• parallel state and federal investigations relating to mortgage-backed securities