Internal and Regulatory Investigations

Internal and regulatory Investigations pose a substantial risk to your business. When a potential civil or ethical violation is suspected in your business, Eric J. Moutz can help you plan and execute a confidential internal audit and investigation to address the matter. This often involves review of documents or evidence and interviews with key witnesses. Once we help you ascertain the facts, Eric can help you formulate a strategic plan for dealing with the situation or any probable future litigation or investigation that may result from it.

Government investigations and subpoenas require prompt, strategic attention. The Law Offices of Eric J. Moutz, LLC assists businesses and individuals responding to regulatory inquiries, investigations, and compliance concerns.

Eric has represented clients before agencies including:

• U.S. Securities and Exchange Commission
• Colorado Division of Securities
• Colorado Department of Revenue
• The EEOC and Colorado Department of Labor
• The Colorado Department of Regulatory Agencies Cannabis Division
• Other state and local agencies including those charged with regulation of cannabis companies

Eric assists clients with risk mitigation strategies, subpoena responses, internal investigations, regulatory compliance audits, and government inquiries. More importantly, if you suspect an inquiry or complaint may be coming in the future, Eric can help you plan your strategy so you are prepared. Often, the best response to a pending or threatened regulatory investigation involves the company conducting its own internal investigation, taking appropriate remedial action(s), and being prepared to interface with regulators in a pro-active and credible way. Eric can work with your own in-house or regulatory attorneys in these types of cases or take over direct representation of your company. Contact us to discuss your matter.