Hine & Ogulluk LLP | Internal Investigations and White Collar Defense
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Internal Investigations and White Collar Defense

Hine & Ogulluk LLP represents individuals and companies facing government investigations or requiring independent, seasoned and credible outside counsel for internal investigations.  When our corporate clients suspect internal wrongdoing, we conduct internal investigations to determine the scope of the problem, work toward resolving it and guide our clients through the process of regulatory scrutiny.  When handled successfully, the results of internal investigations can help deter or blunt regulatory intervention and exposure to litigation.

Our firm understands the seriousness and complexity of investigations that focus on corporate, professional or financial matters in particular. As various governmental regulatory authorities increase scrutiny of routine business and financial transactions, individuals at all levels of the corporate hierarchy may find themselves needing counsel to navigate these challenges.

We have extensive experience in handling complex white collar and securities enforcement matters.  We draw upon our decades of experience in handling investigations and special assignments for companies, boards of directors and executives that are particularly sensitive and challenging, often where independence is essential.  We have served as counsel in numerous highly publicized international government enforcement matters involving authorities from several countries.   We have acted as counsel for entities and individuals in connection with internal corporate and special committee investigations, and have addressed a wide-ranging group of issues in such matters.  We have represented clients in matters initiated by the Department of Justice, the Securities and Exchange Commission, the Financial Industry Regulatory Authority, U.S. Congressional Committees, the Office of the Comptroller of the Currency, State Attorneys General, grand juries and local prosecuting authorities (e.g., Manhattan District Attorney’s Office). 

Representative Matters

  • In re Enron (Class Action Litigation, Bankruptcy, Prosecutions and Regulatory Actions) – key members of an international legal team that, for years, defended several financial institutions in the massive and unprecedented securities class action litigation and regulatory actions stemming from the historic collapse of Enron.  Specifically, represented the Royal Bank of Scotland in adversary proceedings, a shareholder class action and related cases, numerous U.S. and foreign criminal investigations and regulatory proceedings arising out of the collapse of Enron, alleging participation in a scheme to misrepresent Enron’s financial condition via certain structured finance transactions.
  • In re Supreme Oil Co. Investigations and Litigation (N.Y. Sup. Ct.) (N.Y. Surrog. Ct.) – represented CEO of a non-public corporation in internal investigations related to allegations of misappropriation of corporate opportunity, waste and embezzlement; also represented client in connection with estate litigation in New York Surrogate’s Court related to allegations of malfeasance and battle over control of company’s voting shares, and in connection with breach of contract lawsuit in Florida. 
  • SEC v. James McCurdy (SEC Admin.) – defended accountant in SEC administrative proceeding and before the Ohio Accountancy Board in actions involving allegations of professional misconduct stemming from the failed audits of the financial statements of several mutual funds. 
  • SEC vs. David Schick (E.D.N.Y.) – defended CEO and founder of a publicly-traded medical technology company in multiple investigations and proceedings, including an SEC enforcement action alleging accounting fraud and securities law violations.
  • In re United Rentals, Inc. Derivatives Litigation (D. Conn.) – represented members of United Rentals, Inc.’s board of directors in shareholder derivative litigation and internal investigation related to restatement of financials and allegations of accounting impropriety.
  • In re Yahoo! Shareholder Derivative Litigation (N.D. Cal.) – represented special committee of Yahoo!’s board of directors in connection with internal investigations and U.S. Congressional hearings related to claims of internet censorship and human rights violations in China. 
  • In Re Teamsters Investigations – served as counsel for federal court-appointed investigator for the Independent Review Board in multiple nationwide investigations of corruption, undue influence, misappropriation of funds and racketeering by members of the International Brotherhood of Teamsters. 
  • In re Terex Corp., File No. C-2729 – SEC investigation involving alleged accounting irregularities and securities law violations, including Wells Submission and settlement.
  • United States v. Baig, et al., CR-13-351 (E.D.N.Y.) – represented Seven-Eleven, Inc. in connection with U.S. Attorney investigation into alleged harboring of illegal aliens and identity theft by 7-11 franchisees.
  • In re Alpha Natural Resources, Inc., No. 15-33896-KHR, (Bankr. E.D. Va.) — represented debtors in connection with negotiations and potential litigations with state and federal environmental regulators and interest groups with respect to reclamation of surface coal mining activities.  Also, represented debtors in appeals relating to Key Employee Incentive Program (KEIP) issues.