Ethical Issues when Conducting Internal Investigations
Program Number: 1988
Program Date: 12/03/2009
Description
David Seide, Esq., a partner at Curtis, Mallet-Prevost, Colt & Mosle LLP, and the principal author of a report for the ABA recommending best practices for company counsel to follow when interviewing company employees as part of an internal investigation, and Gary Collins, Esq., the Managing Director and Director of Compliance at GE’s Energy Financial Service, Inc. and national Executive Director of the ABA’s White-Collar Crime Committee, discuss the ethical issues that confront counsel in such investigations, Topics include:
• Why Organizations Conduct Internal Investigations
• Cooperation with the Government
• Upjohn (Corporate Miranda) Warnings Given to Employees
• Problems Encountered when Interviewing Employees
• The Broadcom Case and the Ethical Issues Identified
• ABA Task Force Report on Best Practices to Follow
• Common Issues and Suggested Responses when Interviewing Employees
Available in states
Arizona, California, Colorado Eligible, Georgia, New Jersey Eligible, New York, Texas Self Study
Credit Information
50 minute credit hour - 1.0 General CLE credit, including 1.0 Ethics credit
60 minute credit hour - 1.0 General CLE credit, including 1.0 Ethics credit
State Program Numbers
NY 1.0 Ethics credit
Program Categories
Corporate and Commercial Law
Corporate and Securities Law
Criminal Law & White Collar
Employment & Labor Law
Ethics & Professionalism
In-House Counsel
Litigation & Litigation Skills
Regulatory and Administrative Law
Securities & Investing
Presenters
Gary H. Collins, Esq. General Electric Financial Services |
Gary Collins, Esq. is a Managing Director and Director of Compliance at GE’s Energy Financial Services in Stamford, Connecticut. Prior to joining GE, Gary was a litigation partner at Day Pitney, LLP (formerly Day, Berry & Howard, LLP) where his practice focused on corporate governance, compliance, white-collar defense and internal investigations. Gary teaches Government Investigations at the University of Connecticut School of Law and serves as the national Executive Director of the ABA’s White-Collar Crime Committee. Prior to joining Day Pitney, Gary served as an Assistant U.S. Attorney in Washington D.C. During his tenure at the Justice Department, he was twice honored with the Department's Justice for Victims of Crime Award. His time in public service was preceded by an association with Winston & Strawn. Gary is a graduate of Vanderbilt University School of Law (91) and State University of New York, Buffalo (88). |
David Z. Seide, Esq. Curtis, Mallet-Prevost, Colt & Mosle LLP |
David Z. Seide, Esq., a partner in the Litigation Group of Curtis, Mallet-Prevost, Colt & Mosle LLP, focuses on white-collar crime, and represents companies and individuals in lawsuits or under investigation by the Securities and Exchange Commission, the Department of Justice, and state and local agencies. The Co-Chair of the American Bar Association (ABA) Task Force on Best Practices for Company Counsel to Follow When Providing Upjohn Warnings to Company Employees, and the principal author of a report for the ABA recommending best practices for company counsel to follow when interviewing company employees as part of an internal investigation, he is also the Co-Chair of the ABA Securities Fraud Subcommittee, and White Collar Crime Committee. Mr. Seide spent nearly 12 years as an Assistant U.S. Attorney in Los Angeles, where he was responsible for the investigation, prosecution and trial of multiple individuals and organizations suspected of engaging in securities fraud. He has published articles in numerous publications, speaks regularly to industry and trade groups, has lectured at law and business schools, and has taught at the National Institute for Trial Advocacy. |
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