501 Heights Boulevard; Houston, Texas 77007

Corporate Compliance Investigations


Specialists. Experts. Experienced. These are words that come to mind for Corporate Compliance Investigations conducted by Frizell Group International, LLC.

At Frizell Group, we call them “Corporate Compliance Investigations,” but some of our clients call them “Ethics and Compliance Investigations,” “Internal Investigations,”  “Employee and Vendor Malfeasance Investigations,”  “Integrity Investigations,”  or other terms. In short, it is the investigation of an allegation of wrongdoing – one that either violates the law or violates the client’s company policies, including their Ethics and Compliance policies – committed by an employee or a vendor.

Such wrongdoing often results in measurable losses to the business, can foster a culture of non-compliance which can lead to even more losses, and can even increase the business’ liability. Especially for companies potentially impacted by the Federal Sentencing Guidelines, this can also result in hefty fines.

Many corporations think of turning to law enforcement when they have criminal activity in their ranks, such as theft, embezzlement, illegal drug use or sales, etc. However, police agencies are not able to devote the necessary resources to each investigation in a manner that will always produce the best possible results for the business victim. Police agencies have a very narrow focus: identifying the perpetrator(s) and proving the legal elements of any criminal activity.

Utilizing Frizell Group allows for a more widespread and exclusively focused investigative process that seeks not only to identify criminal activity, but also non-criminal activity that is against the propriety and fiduciary interests of our clients. For example, Frizell Group will not only seek confessions of wrongdoing from those involved but will expand the depth of those interviews to include the identities of others involved, failures in business and security controls, and lapses in management oversight.

Frizell Group can then make recommendations to “harden the target” and help our clients to establish or enhance business and security protocols that will reduce or eliminate such behavior in the future. Best of all, a Frizell Group investigation can still be used to successfully seek criminal prosecution if that is the course of action requested by the client.

Frizell Group professionals who conduct these investigations are well-trained, well-experienced, and well-versed in the art and science of the Detection of Deception. They conduct “corporate friendly,” truth-seeking, interviews that help guilty people confess and help allow honest witnesses to open up and feel more comfortable participating in the investigation.

Employee and Vendor Malfeasance violations typically involve one or more of the following areas, among others:
Drug and Alcohol Violations
Falsification of Documents
Sexual Harassment
Vendor Kickback Schemes
Conflict of Interest
Misuse of Company Resources
Discrimination / Favoritism
Abuse of Authority
Corporate Compliance Investigations generally start with an allegation of wrongdoing, typically the result of measurable inventory losses, a call to the company’s “Hotline,” or a confidential source. It is best to call upon the services of Frizell Group right away before other investigative steps are taken to enhance the opportunity to resolve the issues in the most value-added manor and before the need for investigation becomes common knowledge to the potential perpetrators.

Frizell Group will consult confidentially with the client to discuss the allegation(s) and the appropriate course of investigative action. Most often, appropriate documents are reviewed, and trusted witnesses are interviewed, before subject interviews of the accused employees and/or vendors are conducted. When necessary, Frizell Group will recommend that outside experts, such forensic computer experts, or other case-specific experts, be brought into the investigation.

Subject interviews are scientifically designed to elicit confessions from guilty parties and to help establish the innocence of those who have been wrongfully accused. Frizell Group has an excellent record of accomplishment in the conduct of truth-seeking interviews. Frizell Group only utilizes experts in this field, to include David P. Frizell, Jr., CFE (a former CIA Polygraph Examiner and former federal law enforcement agent), and Thomas C. Kiefer, CFE, (a former command-level law enforcement professional and police detective).

Unlike a similar interview that might be conducted by the police for criminal violations, the use of a Frizell Group investigator for such an interview will allow more focus on business-related issues.

This will help provide a determination of the nature and scope of each violation, the methodologies used, and the identities of others involved, so that the client will ultimately have the opportunity to seek criminal, civil, and/or administrative remedies as a result of the completed investigation, and most importantly, will allow the client to implement the appropriate safeguards.

Frizell Group knows the business and we understand issues of “co-employment” when vendor employees are interviewed. We understand labor issues when members of a union are investigated. We know how to conduct Corporate Compliance Investigations in a “corporate-friendly” manner that brings the greatest potential for success with the least opportunity for increased client liability.

Frizell Group was established in 1995 by David P. Frizell, Jr., CFE, a Certified Fraud Examiner and former federal law enforcement and counterintelligence agent. He and his highly qualified team create the ultimate blend of people and skills to be productive in any corporate investigation.
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