Investigations & Compliance

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We bring forensic accountants, technologists, and former regulators and law enforcement to our investigations and compliance matters, leveraging experts across an expansive global footprint to meet transnational investigation and compliance requirements.

Our team works to a refined methodology in a wide range of investigative matters that address alleged corruption, money laundering, sanctions, asset misappropriation, financial statement fraud, and other fraud risks and regulatory exposures. We bring those same skills to proactive compliance work, including periodic risk assessments, compliance transformations, and controls evaluations in the M&A context.

*Alvarez & Marsal Disputes and Investigations, LLC is a Certified Private Security Business in the State of Texas (License A18882 at 2100 Ross Avenue, 21st Floor, Dallas, TX 75201).

Regulatory and Internal Investigations

Our team understands and regularly appears before regulators and law enforcement around the world. As a result, we have deep experience conducting investigations and implementing compliance and process enhancements that withstand regulatory scrutiny.

Proactive Compliance Services

We provide comprehensive compliance program support, including maturity assessments, technology evaluations, certification preparation, due diligence, audits, risk assessments, self-reporting and monitorships, to help clients establish and enhance tailored, risk-based compliance programs and effectively document progress for regulatory presentation.

Asset Searches

For over 20 years, our team has specialized in global asset searching, utilizing both public records and human source intelligence to locate hidden assets in challenging jurisdictions. We collaborate with a network of experts and professionals worldwide to support a variety of cases with comprehensive investigative capabilities across numerous regions.

Broker-Dealer

Our team is comprised of senior executives at leading global financial institutions, former regulators, data scientists with expertise in broker-dealer data and systems, and professional consultants including attorneys and CPAs who have decades of experience executing broker-dealer–related projects.

Construction Disputes and Investigations

We provide dispute, investigation and advisory services throughout all phases of the construction lifecycle.

Crisis, Risk and Resilience

We help clients anticipate and resolve high-stake issues in their business activities.

Financial Crimes Compliance and Investigations

Transforming your compliance program can result in reduced risk, lowered costs, and improved efficiency.

Higher Education Disputes and Investigations

We provide dispute, investigation and advisory services throughout the higher education ecosystem. Our professionals, comprised of industry and technical experts have direct legal and executive management experience in higher education, and specialize in providing expert services related to investigations, compliance, forensic technology services, strategy and operations.

Investigative Due Diligence

Our team leverages international databases and discreet inquiries to provide critical intelligence for corporate decision makers, identifying potential deal-breaking issues in joint ventures, acquisitions and investments. With deep expertise across various industries and regions, we offer comprehensive investigative due diligence services.

National Security, Trade and Technology

We help organizations, investors, and their counsel, navigate an increasingly expansive and dynamic environment around investment, trade and technology on national security and industrial policy grounds.

Trade and Tariff Disruption

A&M’s Trade and Tariff Disruption service line helps businesses navigate the complexities of global trade regulations, supply chain disruptions and geopolitical risks. We provide tailored solutions to optimize compliance, mitigate risks and drive operational resilience in an evolving global landscape.

Shareholder Activism and Contested M&A

A&M’s Shareholder Activism and Contested M&A practice, along with the support of other A&M practice groups and professionals, provides clients with support in areas that repel shareholders activists and unsolicited takeover bids, prevail in proxy contests and maximize value for all shareholders.

Press Releases

Alvarez & Marsal Expands Broker-Dealer Investigations & Compliance Practice with Anthony Italiano as Practice Co-Leader

February 18, 2025

Alvarez & Marsal announced the appointment of Anthony Italiano as a Managing Director and Co-leader of its Broker-Dealer Investigations & Compliance practice within the firm's Disputes and Investigations group. Nate brings over 20 years of financial services expertise navigating complex regulatory and litigation matters.

Thought Leadership

Anti-Corruption 2025: USA Trends and Developments

January 13, 2025

In a recent article, A&M Investigations, Compliance, and Monitorship experts Steve Spiegelhalter and Bridget Johnson discuss the potential impact of a changing administration on the US regulatory environment, developments around the US government's incentive programs and DOJ's continued emphasis on effective compliance.

Thought Leadership

Integrating ESG into Risk Management Programs for Law360

September 30, 2024

In a recent article for Law360, A&M's Brooke Hopkins, Rob Sayegh, Kora Dusendschon and Stephanie Weiler explore the latest global regulatory developments around ESG and provide key insights into managing ESG risk and best practices for integrating ESG into enterprise risk management (ERG) programs.

Thought Leadership

A&M Recognized in the 2023 Edition of Who's Who Legal Investigations Experts

May 24, 2023

Who’s Who Legal recognized nineteen leading experts and future leaders from A&M's Disputes and Investigations practice in their 2023 Investigations guide.