Investigations Double Play: Five Lessons from White-Collar Investigations and Conducting Defensible Internal Investigations

Marc H. AxelbaumSusan D. Resley
February 23, 2023


In this installment of our Double Play series, our two, thirty-minute programs cover five lessons from white-collar investigations and conducting defensible internal investigations. There are few things senior executives fear more than criminal prosecution, and that's with good reason because being prosecuted can ruin lives, reputations, finances -- both corporate and personal -- marriages, and families. This program provides practical advice for counsel on how their companies can seek to avoid triggering a criminal investigation and what to do if you're faced with one. With whistleblower complaints skyrocketing, how can companies conduct internal investigations that will be defensible to the SEC and other regulators? This program shares five key lessons for in-house lawyers as they are considering launching, managing and reporting the results of internal investigations.


Marc H. Axelbaum, Partner, Pillsbury Winthrop Shaw Pittman LLP, San Francisco & Silicon Valley, CA

Susan D. Resley, Partner, Morgan, Lewis & Bockius LLP, San Francisco, CA

Marc, a Pillsbury Litigation partner, leads the firm’s Northern California Corporate Investigations & White Collar Defense practice. Marc represents U.S. and international clients in criminal and civil cases and in corporate, SEC and regulatory investigations. He has represented clients from numerous industries, including energy (traditional and renewable), life sciences and health care, technology, banking, investment funds, real estate and construction. Marc also represents public officials. He is skilled at helping clients avoid charges and litigation in the first place, but also adept at defeating and resolving cases once brought.

Leading Morgan Lewis’s Securities Enforcement Practice, Susan advises individuals and organizations in securities-related investigations and litigation. Her clients include companies, boards and their committees, individual directors, senior officers, and employees of companies, as well as accounting firms, brokerage and investment advisory firms, and other financial institutions. Susan represents clients in proceedings brought by the Securities and Exchange Commission’s (SEC) Division of Enforcement, the Department of Justice (DOJ), and the Public Company Accounting Oversight Board (PCAOB).

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