Government agencies and industry regulators investigate individuals they suspect violated federal laws and regulator's rules and regulations. If the investigation reveals a violation, the agency or regulator may seek to charge the individual or settle the matter. An individual may face a range of sanctions, from jail time in criminal matters to civil fines and industry bars, among other things.

The potentially dramatic consequences of sanctions for individuals make it important for counsel representing them to handle investigations carefully and with good judgment. This Toolkit contains resources to help counsel achieve the best result for their client.