Regulatory & Compliance
Find the problem before the regulator does.
Independent investigations for organizations and counsel facing compliance failures, audits, or regulatory inquiries. Former FBI agents and attorneys. Licensed in New York State.
Former FBIAttorney LedLicensed in New York State
The Enforcement Reality
Regulators are well funded, well informed, and paying attention.
Enforcement dollars are at record highs and tips are pouring in. When a compliance question surfaces, what protects an organization is a fast, independent look at the facts, not the hope that no one noticed.
$8.2B
record SEC financial remedies ordered in FY2024
45,130
tips and referrals to the SEC in FY2024, an all-time high
2.71x
the cost of non-compliance versus staying compliant
$255M
SEC whistleblower awards paid in FY2024
Sources: U.S. Securities and Exchange Commission (FY2024 enforcement results); Ponemon Institute.
The Cost Equation
Ignoring a problem costs far more than finding it.
The math is not close. Research from the Ponemon Institute puts the average annual cost of non-compliance at roughly 2.71 times the cost of staying compliant, once you add up business disruption, lost productivity, fines, penalties, and settlements. An early, independent investigation is the cheaper path by a wide margin, because it lets an organization fix the gap before it becomes an enforcement action.
Average annual cost: compliance vs non-compliance
Getting ahead of a problem costs a fraction of ignoring one.
Cost of non-compliance$14.8M
Cost of compliance$5.5M
Source: Ponemon Institute, The True Cost of Compliance.
What Enforcement Looks Like
When controls fail, regulators recover in the billions.
In fiscal year 2024 the SEC ordered a record $8.2 billion in financial remedies, split between disgorgement of ill-gotten gains and civil penalties. Those are the numbers for the companies that did not get ahead of the problem. The organizations that fare best are the ones that find the issue first, fix it, and can show a regulator exactly what they did and when.
The SEC's record $8.2 billion in FY2024 remedies
What regulators recover when controls fail.
Disgorgement and interest$6.1B
Civil penalties$2.1B
Source: U.S. Securities and Exchange Commission, FY2024 enforcement results.
What We Investigate
Independent investigations regulators take seriously.
We conduct independent internal investigations into alleged compliance failures and support counsel responding to audits and regulatory inquiries. We test where controls broke, document what happened, and give an organization the record it needs to remediate, self-report, and show a credible, good-faith response. Independence is the point: a neutral investigation carries weight that an internal review cannot.
Internal compliance investigationsRegulatory inquiry responseAudit & examination supportWhistleblower complaint investigationsAnti-fraud & anti-corruption reviewsAnti-money-laundering mattersControls & policy testingRemediation & monitoring support
How We Work
How we run a compliance investigation.
We work under counsel, structured so the findings hold up to a regulator, an auditor, or a court.
01
Confidential scoping
We learn the allegation, the regulator or standard in play, and counsel's objectives, all under strict confidentiality.
02
Independent plan
We build a neutral investigative plan designed to hold up to outside scrutiny, not to reach a predetermined answer.
03
Evidence and interviews
We gather documents and data and interview the people involved, working under privilege and preserving the record.
04
Findings and analysis
We determine what happened, how it happened, and exactly where controls or oversight broke down.
05
Report for the file
You receive a clear, documented report counsel can act on and, where it helps, share with a regulator or auditor.
06
Remediation support
We help close the gap and support monitoring, self-reporting, and the record of a good-faith response.
Why Insight
Federal experience. Legal discipline. Findings that hold.
Our team brings more than 70 years of combined investigative, intelligence, and legal experience to the private sector.
Former FBI and national security
Our investigators come from the FBI and national security backgrounds, trained in complex investigations, evidence, and regulatory matters.
Attorney led, built for scrutiny
Attorneys guide every case, so the work respects privilege and stands up to a regulator, an auditor, or a court.
Licensed in New York State
We are fully licensed New York State investigators, working within state privacy, surveillance, and investigative law.
Independent, neutral, defensible
We report only what the evidence supports, which is the independence that gives our findings weight with regulators.
Questions
Common questions about compliance investigations.
What does a regulatory and compliance investigation involve?
It is an independent look at an alleged compliance failure: gathering documents and data, interviewing the people involved, and testing where controls broke down, all documented in a report counsel can rely on. We tailor the scope to the matter and the regulator or standard in play.
Why bring in an outside investigator?
Independence. Regulators and courts give more weight to findings from a neutral investigator than to an internal review, and bringing us in frees counsel to manage strategy and privilege while the facts are developed cleanly.
Can you support us during an audit or regulatory inquiry?
Yes. We work under counsel to gather the facts, respond to information requests, and document a credible, good-faith response, so the organization is answering with evidence rather than guesses.
Will your work help us self-report or remediate?
Yes. A clear, documented investigation is the foundation for self-reporting and remediation, and it is what lets an organization show a regulator that it took the matter seriously and acted.
Find the problem before someone else does.
Speak with a licensed New York State investigator, in complete confidence. Former FBI, attorney led, and built for court.
Sources & Data
U.S. Securities and Exchange Commission. FY2024 enforcement results: record financial remedies, enforcement actions, tips and referrals received, and whistleblower awards paid.
Ponemon Institute, The True Cost of Compliance. Average annual cost of compliance versus non-compliance across benchmarked organizations.
U.S. Department of Justice, Evaluation of Corporate Compliance Programs. Prosecutors' expectations that organizations detect, investigate, and remediate misconduct.
Former FBI professionals, attorneys, and national security experts delivering high-integrity private investigations built for legal, corporate, and high-risk environments.
INSIGHTS
- The Insider Threat Sitting Inside Your Company Right Now
- Due Diligence Failures That Cost Companies Millions
- Before You Sue, Know the Facts: Why Smart Attorneys Use Investigators Before Filing
- Social Media Never Forgets: How Digital Investigations Expose Contradictions
- The CFO Is Not the Only Risk: How Internal Fraud Hides in Plain Sight
Reach Us
We are diligent and determined because we care about our clients.
1335 Jefferson Rd, Rochester, NY 14623