Deciding Whether and How to Conduct an Internal Corporate Investigation

Lesley Brovner & Mark Peters
October 28, 2025

The Critical First Step

When corporate leaders learn of potential misconduct inside their organization, one of the most important—and sensitive—decisions they face is whether and how to conduct an internal investigation. In today’s highly regulated environment, ignoring red flags is not an option. A well-planned investigation can uncover wrongdoing early, help meet legal duties, and protect the company’s reputation before regulators or shareholders intervene.

At Peters Brovner, we counsel boards and executives on how to make these threshold determinations—balancing legal obligations, business risks, and cost considerations.

Deciding Whether and How to Conduct an Internal Corporate Investigationseotech2026-03-06T20:43:24+00:00

What to Do When an Internal Investigation Reveals Misconduct: Next Steps

Lesley Brovner & Mark Peters
October 6, 2025

When an internal investigation reveals misconduct, there are a number of steps that should be taken promptly – all with the guidance of legal counsel. First, a determination needs to be made as to whether the misconduct violates any laws or regulations and, if so, what reporting obligations the Company may have. Next, a determination must be made as to the appropriate punishment to be meted out. Finally, and just as important, a determination needs to be made about what steps must be put in place to remedy the harm from the misconduct and to prevent such misconduct from occurring in the future.

What to Do When an Internal Investigation Reveals Misconduct: Next Stepsseotech2026-03-06T20:43:54+00:00

The Evolution and Importance of Internal Corporate Investigations

Lesley Brovner & Mark Peters
September 5, 2025

Internal corporate investigations have become a critical tool for companies to address allegations of misconduct, comply with regulatory obligations, and maintain public trust. Once a niche strategy used primarily in response to SEC enforcement actions, these investigations are now an essential part of corporate governance and compliance programs.

Over the past five decades, landmark legislation, court decisions, and shifting enforcement priorities have transformed how companies conduct internal reviews. This article examines the origins of internal investigations, the laws that shaped them, and why they remain a key component of corporate risk management.

The Evolution and Importance of Internal Corporate Investigationsseotech2026-03-06T20:44:18+00:00

What To Do If You Get a Subpoena From The Government

Lesley Brovner & Mark Peters
August 18, 2025

One of the main tools used by the government to obtain information in its civil and criminal proceedings, is the issuance of subpoenas. Receiving a subpoena can be stressful for individuals and companies and complying with a subpoena can be complicated and time consuming. Outlined below, is some basic information concerning government subpoenas and what to do if you receive one.

What To Do If You Get a Subpoena From The Governmentseotech2026-03-06T20:44:50+00:00

The Need for Discovery Reform in New York to Protect Survivors of Sexual Assault and Domestic Violence and other crime victims

Lesley Brovner & Mark Peters
April 25, 2025

As of this writing, New York State’s budget is now 20 days overdue. The hold-up is less about money and more about changing the State’s discovery rules when it comes to criminal cases. Several years ago, the State changed the laws and put very onerous burdens on prosecutors. The goal was increased transparency and fairness in the criminal justice system. Unfortunately, the results were a far less just system. The results have been multiple serious crimes going unpunished because DA’s Offices have made minor technical (and non-prejudicial) errors in the discovery process. Other cases went unprosecuted because DA’s Offices lacked the resources to keep up with the massive new discovery obligations. Multiple DA’s, as well as advocates who fight on behalf of crime victims, have been lobbying for changes to increase justice in the system. Peters Brovner stands with the prosecutors and advocates.

The Need for Discovery Reform in New York to Protect Survivors of Sexual Assault and Domestic Violence and other crime victimssecureadmin2026-03-06T20:45:29+00:00

Key Legal Steps in Conducting Effective Internal Investigations

Lesley Brovner & Mark Peters
February 5, 2025

Internal investigations are an important tool for companies and nonprofits that either think something may have gone wrong at their organization or are already threatened with government or private action as the result of alleged wrongdoing. Such investigations can determine the scope of the problem, allow organizations to take proactive steps to fix the problem before it becomes a crisis and take steps to prevent future problems. In order for an internal investigation to be effective, it is crucial to adhere to certain basic legal steps and procedures. These are important not only to make the investigation (and subsequent written report) complete, but to allow it to stand up to challenge if necessary.

Key Legal Steps in Conducting Effective Internal Investigationssecureadmin2026-03-06T20:46:01+00:00

Importance of Regulatory Compliance for New York City Businesses

Lesley Brovner & Mark Peters
December 3, 2024

New York State and City are highly regulated jurisdictions, and businesses operating in the City and State need to be keenly aware of the regulatory requirements that both govern business generally as well as regulations that are specific to their industry. The consequences for failure to do so can be significant.

What Is Regulatory Compliance?

Regulatory compliance means adhering to all federal, State and local rules and regulations. In order to get and remain in compliance it is important for every for profit and nonprofit entity to create a process for understanding the relevant rules and regulations, train staff on the relevant rules and regulations, and impose discipline for the failure to follow the rules and regulations.

Importance of Regulatory Compliance for New York City Businessessecureadmin2026-03-06T20:46:36+00:00

Understanding Regulatory Compliance Law in New York

Lesley Brovner & Mark Peters
November 1, 2024

Regulatory compliance in New York requires dealing with multiple regulatory agencies overseeing City, State and federal rules and regulations. Ensuring regulatory compliance is an ongoing process. These rules and regulations are ever changing. Moreover, City, State and federal rules often have different requirements for the same issues and must be seen as a whole yet dealt with individually. Thus, compliance with federal regulations does not guarantee compliance with stricter City and State rules. It is therefore important to work with attorneys who understand both federal as well as state and local requirements.

Understanding Regulatory Compliance Law in New Yorksecureadmin2026-03-06T20:47:17+00:00

Crisis Prevention

Lesley Brovner & Mark Peters
October 14, 2024

The way in which companies and nonprofits prevent and manage both legal and reputational crises has a profound effect on their ability to succeed and focus on their business operations. It is imperative when faced with a potential crisis to employ a robust crisis management plan. This involves dual strategies: A legal strategy to address liability issues and a public relations strategy to deal with any public fallout.

Crisis Preventionsecureadmin2024-10-22T21:17:27+00:00

Navigating Legal Disputes in New York City

Lesley Brovner & Mark Peters
September 27, 2024

Legal disputes with New York City come in many different types. With its $112 billion budget, the City has immense numbers of contracts with companies and nonprofits that provide vital services to New Yorkers but is chronically late in paying for those services. As such, legal disputes with the City over payment for work performed is an increasingly significant issue. At the same time, the City has multiple agencies with investigatory powers who can issue subpoenas or other demands on companies that do business within the City. Thus, responding to City investigations can seriously impact the day-to-day as well as long-term prospects of the companies and nonprofits that operate within the City’s investigatory ambit. Finally, the City can take administrative actions that negatively impact an entity’s operations and these too may turn into legal disputes that need to be resolved.

Navigating Legal Disputes in New York Citysecureadmin2026-03-06T20:48:22+00:00

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