Corporate Representation, Governance and Internal Investigations
When companies or municipalities need to conduct internal investigations, in a post-Sarbanes-Oxley era it often is wise to use counsel not previously engaged by that company or municipality. Stetler, Duffy & Rotert, Ltd. offers experienced and resourceful lawyers who work quickly to develop an accurate and credible report of their findings.
Companies involved in criminal investigations, regulatory actions or commercial disputes frequently need additional counsel who can provide separate representation to employees. Stetler, Duffy & Rotert, Ltd. attorneys work effectively with corporate counsel to assure that employees’ interests are fully protected.
REPRESENTATIVE CASES
The City of Minneapolis engaged SDR to conduct an internal investigation into allegations of financial corruption within City government. SDR lawyers conducted a prompt and thorough investigation and provided an extensive report of their findings to the Minneapolis City Council.
When a Chicago-based hedge fund suffered large financial losses in a Ponzi scheme involving bogus receivables for retail merchandise, the fund’s outside auditors commissioned an investigation to determine whether fund personnel were culpable for such losses. The outside audit firm turned to SDR and asked for a quick but reliable report. Our review of the relevant financial records and our interviews of fund employees demonstrated that the hedge fund was victimized by the fraud but had no basis to suspect the existence of the scheme. As a result, the fund was able to obtain audited financial reports it needed to continue operations.
One of America’s largest and best known retailers faced an aggressive federal investigation into alleged fraud in the marketing of automobile batteries. The company engaged SDR lawyers to represent several employees summoned for interviews with federal agents and our attorneys worked carefully with the corporation to assure that the individual interests of each employee was fully protected.
Major law firms are sophisticated consumers of legal services, so it is noteworthy that on a number of occasions the lawyers at Stetler, Duffy & Rotert, Ltd. have been engaged by prominent Chicago law firms to investigate allegations of unethical practices by firm lawyers. Our investigations have been discreet and attracted no unwanted attention, but have provided clear answers to often complex questions of law and ethics.
SDR was engaged by a major Illinois utility to represent employees during parallel civil and criminal investigations into allegations of price-fixing in the purchase and sale of natural gas. None of the employees whom we represented was charged with any offense and none of our clients were found liable for improper conduct.