Inquiries and document requests from DOJ, SEC, state AGs, and other agencies pose significant risk to banks, broker-dealers, and other financial institutions. These inquiries are often sensitive, touch on important customer relationships, or potentially implicate the institution’s personnel or policies. Our team assists you in responding to these requests. We handle all aspects of investigations, from preserving documents and data, to counseling on anti-money laundering laws, to defending against SEC or DOJ inquiries and enforcement actions. We understand the difficulties inherent in responding to these inquiries, including the burden these projects place on staff at all levels. We help manage that burden by developing strategies designed to mitigate risk, manage exposure, and protect companies and individuals.
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