Ethical Issues Associated with Internal Investigations

(5637 Ratings)

Produced on: October 13, 2015

Course Format On Demand Audio

Taught by

Categories:

Course Description

Time 61 minutes
Difficulty Intermediate

In an era of heightened government and regulatory scrutiny for employers across a wide range of laws and statutes, the importance for companies to perform their own thorough and effective internal investigations into allegations of wrongdoing has never been more apparent. In-house attorneys and outside law firms are frequently called upon to perform such investigations. When doing so, all attorneys must be mindful of the ethical duties and responsibilities that can be implicated in connection with such investigations. The failure to pay careful attention to these ethical obligations can have serious negative ramifications for both the corporate client and possibly the individual attorney as well.

 

Join John F. Fullerton III, a member of the firm at Epstein Becker & Green, P.C., who regularly conducts internal investigations and advises financial institutions and other corporate employers on employment and whistleblower related matters, as he discusses the important ethical considerations associated with internal corporate investigations.

 

Learning Objectives:

I.    Identify the distinctions in the roles of fact investigator and legal advisor

II.   Explore the rules of establishing and maintaining attorney client privilege and establishing and maintaining attorney work product protection

III.  Grasp the nature and scope of various waivers of privilege, including:

  • General vs. Partial Waiver
  • Selective Waiver
  • Extrajudicial Waiver

IV.  Recognize the rules governing confidentiality of internal investigations

V.   Understand the limitations on the use of Social Media in connection with internal investigations

Faculty

John F. Fullerton III

Epstein Becker Green

JOHN F. FULLERTON III is a Member of the Firm in the Labor and Employment practice, in the New York office of Epstein Becker Green. He has substantial experience serving clients in the financial, health care, sports, real estate, and building service industries.

Mr. Fullerton:

  • Represents employers in Sarbanes-Oxley and Dodd-Frank whistleblower compliance and litigation defense
  • Represents employers in litigation, arbitration, and mediation matters concerning discrimination, wage and hour, restrictive covenant/non-compete, and wrongful termination claims
  • Counsels employers on workplace issues, including hiring and promotion, firing and discipline, wage and hour, and the implementation of employment policies, to ensure compliance with federal and state laws
  • Counsels clients on drafting all types of employment, consulting, and separation agreements
  • Represents clients in labor relations and collective bargaining
  • Provides corporate transactional advice on labor and employment issues
  • Mr. Fullerton has represented all four major sports leagues over the course of his career. In February 2014, he successfully represented the Cleveland Indians in salary arbitration with relief pitcher Vinnie Pestano. 

Since 2004, Mr. Fullerton has been an adjunct professor of law at Pace University School of Law, where he has taught classes in labor law and advanced appellate advocacy and served for nine years as the faculty advisor to the law school's National Moot Court team. A frequent lecturer, Mr. Fullerton has authored numerous articles on labor and employment topics for various publications, including The National Law Journal, The New York Law Journal, The Labor Lawyer, Employment Law360, Real Estate Weekly, Corporate Counsel, and Dispute Resolution Journal. He has also authored the book Employment Separation Agreements Line by Line: A Detailed Look at Employment Separation Agreements and How to Change Them to Meet Your Clients' Needs, published by Thomson West in 2011. He edits and contributes to the Financial Services Employment Law Blog and serves as coeditor of the firm's Act Now Advisories.

Mr. Fullerton is a graduate of Brown University and New York University School of Law, where he was editor-in-chief of the Moot Court Casebook and a recipient of the New York Council of Defense Lawyers' Norman Ostrow Scholarship. Following graduation, he clerked for the Hon. Allyne R. Ross of the U.S. District Court for the Eastern District of New York.

 Mr. Fullerton has been selected for inclusion in The Best Lawyers in America (2007 to 2014) and New York Super Lawyers - Metro Edition (2007 to 2013). He is described as an "expert in labor union law" in the 2006 edition of Chambers USA: America's Leading Lawyers for Business.


MEMBERSHIPS

  • American Bar Association, Labor and Employment Law Section
  • New York State Bar Association, Labor and Employment Law Section
  • SIFMA Compliance & Legal Society
  • Society for Human Resource Management

BAR ADMISSIONS

Massachusetts

New York

COURT ADMISSIONS

Supreme Court of the United States

U.S. Court of Appeals for the Second Circuit

U.S. District Court, Eastern District of New York

U.S. District Court, Southern District of New York

EDUCATION

J.D., New York University School of Law, 1994

B.A., Brown University, magna cum laude, 1988

Reviews

JM
joline m.

Relevant and useful content.

CB
Carrie B.

Smooth delivery and on point.

JA
James A.

a lot to take in...helpful

GM
Gregg M.

Well done and relevant

CG
Cecilia L. G.

Very professionally presented and lots of good information.

SM
Stephanie M.

Well done.

KM
Kirsten M.

good content - interesting and different twist on typical ethics curriculum

PL
Perry L.

good coverage

RB
Randy B.

Great work and great overview of the area.

PU
Pam U.

Excellent presenter and material.

AW
Anne W.

Well presented and included good practical advice.

LH
Lisa H.

Good presenter

SN
Sandra N.

Excellent

VG
Vincent G.

Good course

CB
connie b.

excellent and relevant

GE
Gbolahan E.

Very good

DM
David M.

Excellent and informative. One of the best and most useful ethics presentations I have taken.

PA
Parsa A.

Very well done.

PH
Paul H.

very interesting topic

DJ
Don J.

made it interesting--with current scenarios

TP
Thomas P.

Very Informative Thank you

JW
Jayne W.

great presentation- can be used in everyday practice!

BH
Brian H.

Very informative.

CS
Chad S.

Good presenter and informative presentation.

EG
Erik G.

As in-house counsel, this program was excellent. Information in the course of immediately usable and practical. Loved it.

JR
James R.

Very good program. Presenter knew subject matter very well.

MB
Matthew J. B.

Appreciated the inclusion of social media issues.

JW
Jason W.

Excellent content, really helpful.

GN
Gregory N.

good refresher even for experienced counsel. legend on notes excellenct idea

EF
Elizabeth F.

Great presentation

JD
John P. D.

Quite informative

LO
Lisa O.

Great presentation.

DW
David W.

Excellent course; knowledgable instructor.

BW
Brenda W.

Very good review.

RA
Ryan A.

Very informative!

RD
Rebekah D.

Thank you

SG
Shawn G.

Thorough and practical presentation.

MW
Matthew W.

Excellent coverage of "Ethical Issues Associated with Internal Investigations"

KO
Karla O.

Very informative course.

MB
Mark B.

Very good job in reminding us of some ethical minefields in the internal investigative process

JR
John R.

Very Good.

ES
Eric S.

Excellent!

DH
Daniel H.

Good overview of an important topic.

BB
Bridget B.

Very practical!

LR
Lawrence R.

This was a particularly good one!

DK
Debbie K.

One of the better ones I've listened to. Thank you.

MC
Melanie C.

Overall good program.

EL
Erin L.

Really helpful and engaging. Probably the most helpful course i've listened to since going in-house

GM
Gerald M.

Good quality program and materials that were well presented.

DN
Doris N.

Good course, well-presented!

JF
James F.

Helpful for in house attorney.

TB
Thomas B.

Very useful presentation for all attorneys regardless of their area of practice.

JC
james c.

Excellent discussion and very practical and informative. The presenter did a great job of explaining what to be aware of in this area.

JM
Joseph M.

Very interesting !

JS
Judah S.

very helpful

MP
Magin P.

Good explanation of the case law.

LR
Linda R.

Great Course! Speaker was easy to listen to and explained the law and cases well.

GS
George S.

Important area of ethics and well done.

MW
Michael W.

Good discussion of privilege and protection

JH
Julie H.

Excellent presentation. Good information for anyone, not just attorneys, involved in internal investigations.

TP
Thomas P.

Very informative

LA
Leonice A.

Great!

TF
Thomas F.

VERY GOOD

LC
Lourdes C.

Excellent faculty and just the right amount. The last 5 minutes on use of social media was great and deserves a larger timeframe.

TC
Thomas C.

excellent course

RG
Richard G.

Knowledgeable and articulate presenter.

JS
jon s.

Good presentation. Thanks.

WT
Walter T.

Thanks.

EN
Eric N.

I really liked this course. I find it very applicable in the in house context.

SP
Stephen P.

Written materials were excellent

RS
Randall S.

excellent course, outstanding presentation

PK
Paul K.

all good

CM
Christopher M.

The presenter was excellent and the materials were concise and right on point

CJ
Christopher J.

Very comprehensive and useful presentation.

JN
John N.

Basic information, well presented. Should be seen by every lawyer once a year----

CH
Clayton H.

Neverbefore heard the privileges sliced and diced this much. Very helpful

PG
patrick g.

smart and effective presentation of relevant and useful information.

RM
Richard M.

Very relevant to my practice.

TY
Tonya Y.

Nice working examples were provided.

KR
Karen R.

Social media info at end was particularly helpful

AF
Adam F.

Very practical

RL
Raymond L.

good course

NG
Nicolas G.

Very well organized presentation!

AW
Andrietta W.

Very interesting and thorough presentation

RP
Robert P.

good balanced talk...just about the right amount of material

MG
Melissa G.

good

ZR
Zein R.

Thanks!

DB
Dennis B.

great instructor. So clear and concise. Highly recommend him.

SA
Stephen A.

Very good.

KN
Keith N.

Great course!

RQ
Randel Q.

Excellent coverage and explanation of privileges and application of various rules concerning confidentiality and confidentiality.

SA
Steven A.

Nice job!

KP
Karen P.

This was an outstanding program.

ER
Edward R.

great presentation, clear good content.

JM
John M.

Very good presenter

JH
Jackie H.

Outstanding discussion of ethical issues for attorneys working in-house or as outside counsel.

BC
Beth C.

I liked his manner and how practically he presented the materials. Good stuff!

JD
Jeffrey D.

Thank you.

DD
Denise Michelle D.

Covers a lot of ethics ground and also a helpful primer on ethical issues in representing a corporation in general.

SB
Sarah B.

Very helpful.

DC
David N. C.

Just the right amount of information, The presenter was not rushing through the materials. Just the right amount of practical advice to give some concrete fleshing out to the discussion.

RS
Robert S.

Excellent and thorough presentation.

RM
Robert M.

Excellent Program! Must see for attorneys --especially in-house counsel doing internal investigations

TD
Thomas D.

Excellent, informative presentation!

RM
Richard M.

he is very good

GD
Greg D.

I have done internal investigations intermittently for years, and this presentation gave me multiple points to use to polish my process and forms as well as pointers to some specific, helpful authorities. It was well worth the time. Thank you.

RB
Russell B.

Mr. Fullerton was collegial and effective in his course presentation. Russell Brahm

WH
William H.

This course contains lots of of good information. It could be expanded to a longer length in order to provide more detail and explanation.

MS
Morgan E. S.

Good instructor

CH
Catherine H.

thank you, presentation was helpful

DW
Donna W.

The speaker is well organized and informative.

JZ
john z.

good course

RM
Richard M.

Good presentation. Helpful information.

GN
George N.

Excellent and thorough. Very well panned and delivered.

RW
Robert W.

Well done

RC
Robert C.

Good program

DH
David H.

Good course.

WH
William H.

Interesting review of internal investigations.

RK
Richard K.

a must course

BC
Barbara C.

Faculty was excellent

DB
Daniel B.

Good presenter

MG
Montel G.

The attorney was very good and well versed in the topic area.

SW
susan w.

He was great! Explanations clear and straight to the point.

JM
John R. M.

excellent coverage in 1 hr.

MH
Matthew H.

The program was concise and comprehensive.

LG
Lee G.

Crisp, clear, practical information and practice tips.

SF
Shannon F.

This was an excellent program

JA
John A.

Excellent

MP
Michael P.

This was very well thought out and impressive in scope.

HB
Heather B.

Excellent content and presenter.

WB
William B.

Speaker was obviously comfortable with the subject matter and extremely knowledgeable.

MG
Michael G.

One of the most relevant and useful CLE's I have taken (certainly with respect to ethics).

AA
Alan A.

Very well done with specifics on the rules and the fine points.

HV
Hector V.

Great course. The professor did an excellent job of teaching the material.

WL
William L.

The social media nuances are an interesting wrinkle.

SB
Steven B.

Great course. Very informative.

RM
Rhonda M.

Very well done!

BH
Bob H.

Excellent and useful presentation

JH
John H.

excellent course

JK
John K.

Excellent all around!

JK
Josef K.

good course. nice coverage of ethical considerations, as well as general employment​ law coverage.

GD
Gary D.

Very insightful presentation. Impressed by the experience of the lecturer.

AM
Angie M.

This was a good topic. I learned a lot.

WG
William G.

This is an outstanding seminar. I would recommend it to all lawyers.

KK
Kristyn K.

Great presentation. Very practical advice.

FA
Francine A.

Good information

TC
Thomas C.

Thank you.

TJ
Thomas J.

Great presenter

LF
Lawrence R. F.

effective presentation.

RM
Robert M.

Very useful examples provided in the presentation.

MW
Michael W.

Very informative

RJ
Rebecca J.

very useful

EC
Edward C.

Well presented and clearly explained.

RM
Richard M.

very nice program thanks

RM
Richard M.

this was an outstanding program. strong content. Good presenter. Met and exceeded expectations.

TL
Thomas L.

great job

JM
James M.

Very relevant and informative.

BG
Barry G.

I enjoyed this presentation. It was informative, well supported by the materials, and thorough.

TQ
Timothy Q.

Good use of modern case law.

GR
Gerard R.

Very interesting and well done.

PB
Patricia B.

excellent presenter and advice

JR
JA R.

Very tricky area, well presented & thoughtful

EL
Ebenhaezer J. Lubbe L.

Very helpful information

PL
Paul L.

This topic was very to the point. Extremely informative.

TG
Tom G.

I found it useful touching on some areas concerning the investigating vs representing that I had not considered before.

WC
William C.

Excellent!

DB
Derek B.

Really excellent. Would like to see him teach an investigations best practices class.

BB
Bruce B.

Good course

JF
JW F.

Good treatment of unusual subject

GM
Gary M.

Excellent presenter!

KH
Kathryn H.

Thank you

SB
Susan M. B.

Extremely relevant material preseneted in well organized manner by learned speaker.

JW
Jeffrey D. W.

Written materials were concise and thoughtful.

JF
Judith Marie F.

Very succinct, thorough discussion of issues about which every lawyer involved in internal corporate investigations should be aware.

GB
George B.

Excellent presentation on what it is, and is not, Attorney-Client privileged.

AV
Anthony V.

practical advice

SO
Stanley O.

Very well done. Good detail and examples for attorneys of varying experience and areas of practice

KW
Kimberly W.

Important topic. I will review updated versions.

JN
John N.

Helpful distinctions between attorney-client privilege and work-product privilege and their ramifications.

KP
Kathleen P.

Well done.

JS
Jill S.

Very good.

MC
Mark C.

informative

LW
Lauren W.

Interesting.

GB
Gilbert B.

Good seminar.

LP
LeeAnn P.

This was one of the best CLE presentations I have experienced in years. The program was well organized and practical. The speaker provided helpful caselaw references, ethics rules citations and suggested wording for communications related to internal af

TH
Thomas H.

Well done.

DM
David M.

The attorney client privilege analysis was inciteful

JH
Joris h.

Excellent presentation which is well organized, concise and clear.

TP
Timothy P.

great materials

JM
John A. M.

Excellent, thorough, and well organized presentation by a highly knowledgeable presenter. Highly recommended!

RD
Raymond D.

Well Done

JR
John R.

Great presentation.

RH
Robert H.

very good

TO
T. Rodney O.

Excellent overview of and important subject.

AQ
Abrar Q.

Good

CT
Catherine T.

excellent and very informative presentation

CO
Chukwuka O.

Great Instructor!

LA
Linda A.

Presentation was very clear and concise

LM
Leslie M.

Great course!

JB
Jessica B.

Very concrete presentation. Thank you.

MK
Michael K.

One of the very best Lawline programs I have seen.

RS
Richard S.

Very good presentation!

DB
Daniel B.

Very, very good instructor

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