Protecting Privilege in Internal Investigations: Issues and Challenges
Preserving and protecting privilege remains a critical and challenging issue in internal investigations. Taking a misstep by disclosing sensitive information can result in damaging legal and reputational consequences. With the ethical traps, the potentially large number of factual witnesses who must keep the information confidential for the privilege to be preserved, the possible involvement of outside technical experts, and numerous other issues that arise during an investigation, the protection of privilege is tricky.
In some circumstances, a privileged internal investigation will interface with a compliance investigation that regulators or the government will expect to be non-privileged. Preserving privilege over the internal piece of the investigation may be challenging. In addition, privileged information may at times be inadvertently disclosed and it will be critical to challenge or limit the scope of any waiver. There may be times when it is appropriate to proactively waive privilege over certain information, however doing so requires careful consideration and balancing of benefits against the risks of a waiver broader than anticipated. The panel will address these and other challenges that arise in the context of preserving privilege during internal investigations.Â
Listen as a panel of distinguished thought leaders and professionals organized by The Knowledge Group provide the audience with a comprehensive discussion of the most pressing issues and salient developments in maintaining privilege in the context of internal investigations. Speakers will also provide proven strategies to handle investigations successfully.
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Partner and Chair of the White Collar Defense & Investigations Group With Extensive Jury Trial Experience at Jeffer Mangels Butler & Mitchell LLP
Vince Farhat is a partner in JMBM’s Los Angeles office and chair of the White Collar Defense and Investigations practice. Vince has extensive jury trial experience and focuses his practice on representing companies and individuals in criminal and civil investigations and prosecutions by government enforcement agencies, as well as complex federal litigation. Prior to joining JMBM, Vince served as an Assistant United States Attorney in the Major Frauds Section of the U.S. Attorney’s Office for the Central District of California. In that position, he investigated and prosecuted white collar crimes, including healthcare fraud, bank fraud, mail fraud, wire fraud, bankruptcy fraud and money laundering. While in the Major Frauds Section, Vince served as the criminal healthcare fraud coordinator for the U.S. Attorney’s Office and oversaw the investigative activities of the U.S. Department of Justice Medicare Fraud Strike Force for the Central District. Vince previously served as a judicial law clerk to the Honorable Edward Rafeedie, U.S. District Judge for the Central District of California. Vince has worked as an adjunct professor at Loyola Law School since 2004, where he currently teaches white collar and healthcare law.
Shareholder at Littler Mendelson P.C.,
Margaret L. Watson has more than 30 years of experience in employment litigation, internal investigations and alternative dispute resolution. She has litigated numerous cases in federal and state courts as well as in arbitrations (FINRA, AAA, JAMS) and agency proceedings. She regularly defends employers and individual managers in cases involving discrimination and retaliation claims under Title VII, Section 1981, ADA, ADEA, FLSA, FMLA, Dodd-Frank Act and related New York State and City laws, as well as common law tort and contract claims, including U-5 defamation claims and the enforcement of restrictive covenants. For approximately ten years, Margaret was employed by a large national wealth management financial services company, where she served as litigation counsel. Margaret is a graduate, cum laude, of the Harvard Law School. Margaret currently serves as Co-Chair of Littler Mendelson’s Financial Services Industry Group.
Counsel at Ropes & Gray LLP
Beth Weinman, Counsel in Ropes & Gray’s Life Sciences Regulatory and Compliance practice group, focuses her practice on FDA regulation and enforcement of laws governing pharmaceuticals, biologics, medical devices including diagnostics, and dietary supplements. Beth represents clients in investigations concerning alleged violations of the Federal Food, Drug, and Cosmetic Act (FDCA) and False Claims Act (FCA). She also provides regulatory and compliance counseling related to marketing practices, good manufacturing practices, good clinical practices, and product recalls and withdrawals. Beth joined Ropes in 2018 from FDA’s Office of Chief Counsel, where she worked closely with FDA’s Office of Criminal Investigations, the Department of Justice and other government agencies on FDCA and FCA investigations and enforcement.
