PHILADELPHIA – Stradley Ronon is pleased to announce that the firm’s white-collar defense, internal investigations & corporate compliance practice group hosted a CLE discussion in our New York office on May 3 titled “Challenging Issues for In-house Counsel & Compliance Professionals in Internal Investigations.” The session, introduced by Partner Michael J. Engle, featured Stradley Ronon attorneys Steven D. Feldman, Jan M. Folena, Frederic M. Krieger and Klarna’s legal counsel D. Andrew Pietro as panelists.
The group explored the issues in-house counsel face when conducting internal investigations, such as:
When should a company open an investigation, when should it choose not to do so and how best to organize & staff that investigation?
- Identifying potential pitfalls when working with in-house counsel and privilege and privacy concerns when collecting electronic communications and documents outside the United States.
- Handling Upjohn warnings and who gets separate counsel.
- Managing senior executives and caring/feeding for whistleblowers.
- Acting on information obtained in an investigation – restitution, internal discipline, regulatory or law enforcement cooperation and self-reporting.
Co-chair of the white-collar defense, internal investigations & corporate compliance group, Engle is a skilled trial lawyer handling complex criminal cases, internal investigations and compliance matters representing individuals, public officials and professionals, public and private companies of all sizes, nonprofits and other organizations in federal and state courts throughout the country.
Feldman, co-chair of the white-collar defense, internal investigations & corporate compliance group, represents companies and individuals accused of securities and commodities law violations, public corruption, business crimes and fraudulent practices by U.S. Attorneys’ Offices, States Attorneys General, District Attorneys’ Offices, the Securities and Exchange Commission and the Commodity Futures Trading Commission.
Senior Counsel Krieger has extensive knowledge of securities market regulation, both internationally and domestically, including product, bank, broker-dealer and investment management regulation, corporate governance, Securities and Exchange Commission and FINRA examinations, investigations and inquiries, internal investigations and compliance advice and training.
Co-chair of the securities litigation group, Folena is a nationally recognized trial and appellate lawyer who guides clients on securities, derivatives and financial services litigation. She advises and represents clients in all types of securities matters, including those involving investment managers, financial fraud, insider trading, foreign bribery, and matters involving complex financial instruments.
Pietro, senior legal counsel, litigation, has more than 15 years of litigation and investigations experience handling financial crime compliance (anti-money laundering, bribery, and economic sanctions), antitrust, privacy and data protection, securities law, and regulatory compliance matters.
About Stradley Ronon
Counseling clients since 1926, Stradley Ronon has helped private and public companies – from small businesses to Fortune 500 corporations – achieve their goals by providing pragmatic, value-driven legal counsel. With offices in eight strategic locations, our responsive team of more than 200 attorneys seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.