Government Investigations: Evaluating the Settlement Options

Using Deferred Prosecution and Non-Prosecution Agreements, Plea Agreements, and Declinations to Resolve Agency Enforcement Actions

Recording of a 90-minute CLE webinar with Q&A

Conducted on Wednesday, August 22, 2012

Recorded event now available

or call 1-800-926-7926
Course Materials

This CLE course will prepare counsel to advise companies on evaluating a DPA, NPA or plea agreement in a government investigation. The panel will review key trends in government settlements and offer best practices for reaching resolution with a government agency.


The Department of Justice and the Securities and Exchange Commission, as well as the U.S. Attorney’s Office, use deferred prosecution and non-prosecution agreements, plea agreements, and declinations to settle government investigations. The agencies do not necessarily use the same tool to resolve charges.

In May 2012, the DOJ and SEC publicly declined to prosecute Morgan Stanley after an employee pleaded guilty to bribery. The DOJ specifically noted Morgan Stanley's preexisting compliance program as a factor in declining prosecution.

Counsel must understand the challenges involved in working to settle government charges and the key trends in how the government agencies are resolving investigations.

Listen as our authoritative panel examines the factors that counsel to companies must consider when evaluating whether to advise entering into a DPA, NPA or plea agreement. The panel will outline the challenges of such agreements, review the key trends in government settlements, and outline best practices for reaching resolution of government investigations.



  1. Considerations and obstacles faced when involved in multi-jurisdiction investigations
    1. DPAs
    2. NPAs
    3. Plea agreements
    4. Declinations
    5. Cease and desist orders with the SEC
    6. Other options related to settlements
  2. Key trends in settling government investigations
  3. Best practices to resolving government investigations


The panel will review these and other key questions:

  • What factors impact the likelihood of NPAs and DPAs being used to resolve government investigations?
  • What are key trends in how government agencies are using DPAs, NPAs, plea agreements or declinations?
  • What steps can companies take to increase the chances that charges will be resolved with a DPA, NPA, plea agreement or declination?

Following the speaker presentations, you'll have an opportunity to get answers to your specific questions during the interactive Q&A.


Matthew T. Reinhard
Matthew T. Reinhard

Miller & Chevalier

Mr. Reinhard focuses his practice on white collar crime, internal investigations, and complex civil litigation. He has...  |  Read More

Thomas A. Sporkin
Thomas A. Sporkin


He counsels clients on risk management, performs compliance reviews and audits, and conducts internal investigations....  |  Read More

Lara Covington
Lara Covington

Morvillo Abramowitz Grand Iason Anello & Bohrer

Her practice focuses on government investigations and enforcement actions in criminal and regulatory contexts. She has...  |  Read More

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