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Corporate Monitoring


The United States Department of Justice (DOJ) has made it very clear that compliance monitors, whether independent or government-appointed, are a valuable tool for businesses, both in establishing deferred or no-prosecution agreements and in preempting the need for any investigative action altogether.

Parker Poe has a deep bench of attorneys with years of collective experience in government investigations representing Fortune 500 companies, boards of directors, and individual executives. This includes DOJ insider experience through attorneys who have served as federal prosecutors and have a wealth of contacts throughout the DOJ, as well as experience as outside counsel advising and defending businesses in investigations and cases brought by a variety of federal agencies, including the DOJ, the Securities and Exchange Commission (SEC), the Consumer Financial Protection Bureau (CFPB), and the Federal Trade Commission (FTC).

Our offices across the southeastern United States have conducted investigations and related corporate monitoring work for both foreign and domestic clients. Our lawyers have worked alongside companies’ legal and compliance departments to develop and improve internal controls and processes and to tailor efficient and cost-effective compliance plans to a particular company’s needs. We have a deep understanding of how the DOJ itself evaluates compliance. Our team leader, Rick Glaser, is a former national director of the DOJ’s Evaluation and Review Staff. Our experience can help companies seeking independent monitoring as a bulwark against government intervention, as well as companies seeking to assure the government that issues identified during investigations are being properly and thoroughly addressed.

Representative Experience

  • Successfully represented individuals investigated by the DOJ, the Office of the Comptroller of the Currency (OCC), and the SEC.
  • Represented an American subsidiary of a Japanese company in an investigation conducted by the Antitrust Division of the DOJ, which resulted in no prosecution.
  • Successfully represented senior management individuals involved in investigations in the shipping, automotive, and financial services industries.
  • Represented boards of directors in investigations involving financial fraud by senior management of companies.
  • Represented a sports and entertainment conglomerate in an SEC investigation, resulting in no enforcement action taken.
  • Represented a defense contractor in a multicountry Foreign Corrupt Practices Act (FCPA) investigation that was successfully resolved with no fines or penalties.
  • Advised corporate and individual clients under investigation by the CFPB and the FTC.
  • Supervised and coordinated successful internal investigations of seven independent subsidiaries of an international company under investigation by the DOJ.
  • Advised companies in developing export and anti-corruption compliance plans.

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