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Owner/Executive Protection Program


Someone is always listening. Someone is always watching. YOU PROTECT YOUR COMPANY... WHO PROTECTS YOU? Please call at 312-659-8441 or email at howard.stone@stonemcguire.com to discuss your initial risk analysis.

Owner/Executive Protection Program: Act now, or risk paying later

In this changed prosecutorial environment, we encourage executives to take proactive steps before the possibility of a government investigation presents itself – in order to preserve their peace of mind, protect their assets and maintain the good reputations they have worked hard to build.

Because it may be too late to protect these after a subpoena has been served, it is imperative that you strengthen your corporate position by implementing a proactive program designed to protect you and, if you choose, your top executives. You can shield yourself and your colleagues against potential government investigations based on false accusations by proactively preventing any false evidence from becoming a weapon against you.

An Owner/Executive Protection Program essentially builds a wall around you personally to prevent an employee from falsely claiming that you were a participant in his or her wrongdoing.

In order to proactively protect owners, CEOs and other corporate officers from false accusations and potential criminal prosecution and/or personal civil liability, it is imperative to analyze “risky” employees to assess their personal intent, including their commitment to maintaining an ethical corporate culture. Stone, McGuire & Siegel can devise a customized plan to protect your executives based on the following steps:

  •  Detecting “risky” individuals and practices that have the potential to become the subject of criminal investigations falsely targeting you, and devising a strategy for how to minimize or eliminate that risk.
  • Identifying the company’s mandatory legal responsibilities and/or fiduciary duties toward its employees and ensuring that these conditions are fulfilled.
  • Identifying various law-enforcement techniques and statutes that may be wrongfully used against you, your employees and your corporation and proactively defend against them by using sophisticated government protocols.
  • Developing materials for companywide distribution that express your expectations for employees in order to protect you from false accusations of misconduct.

Creating and/or strengthening your company’s legal and ethical corporate culture via dynamic training workshops in executive ethics, conducted by our team or with our affiliate, Chicago-based Second City Works (optional).

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The Benefits of Protection: Reputation, Finances and an Established Defense

Having a preventive program can yield three main benefits:

  • Guarding Your Reputation: Even without an indictment, being the subject of a government investigation can be trying and traumatic. Not only will you be preoccupied with how to prove your innocence, but you will also feel the effects of how others perceive you.
  • Minimizing Your Financial Vulnerability: Once a government subpoena is served, the ensuing investigation will be very costly in lost productivity time and added expense. Your resources will be drained by the costs of your employees’ producing documentation and being interviewed, as well as copying and printing materials for the investigation. By contrast, the costs of shielding your company through our prevention program should be far less than an unnecessary investigation and/or legal defense.
  • Preventing the Need for a Legal Defense: Establishing and maintaining a robust preventive program that promotes ethical values can serve as a strong defense in your favor by proving your intent to follow the law. Not only does this have the potential to minimize the risk of a government investigation, but it can also lessen the impact should one occur.

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Owner-executive protection vs. corporate compliance

The Owner/Executive Protection Program is different from a corporate compliance program because it focuses on owners and higher-level executives rather than on the corporation’s policies/procedures and operational-level employees.

A Compliance Program is:
*A program that monitors an organization’s internal processes and procedures to detect, correct and prevent instances of fraud, waste and/or employee malfeasance.
*A program that attempts to implement appropriate corporate internal controls.

The Owner/Executive Protection Program is:
*A program that attempts to protect owners/executives from potential false accusations by employees before they become witnesses in a government investigation.
*A program that (1) identifies people and/or practices that may be identified as vulnerable in a potential government investigation; and (2) works with those individuals and within those practices to ensure that the organization remains cohesive and efficient by building a strong ethical culture.
In essence, the protection plan shields owners/executives with a bullet-proof vest.

Therefore, if you have a compliance program, it should have been monitoring your company’s policies and procedures to assure lawful practices. However, the Owner/Executive Protection Program will shield your company’s owners, executives and other high-level managers in risk areas that could generate false criminal allegations by other employees.
*Please note that as a general rule, even if you have professional liability coverage, D&O policies do not protect you or your executives from criminal acts.

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Why Stone, McGuire & Siegel is uniquely qualified to meet your needs

Most corporate compliance attorneys are civil lawyers who lack training in and experience with federal and state criminal prosecutions against corporations and individuals. By contrast, Stone, McGuire & Siegel has proactively investigated potential criminal risks and has implemented proactive protection programs for 30 years.

Our team includes:

  • Former federal prosecutors
  • Former FBI agents
  • Former IRS agents and IRS criminal investigators
  • Certified fraud examiners
  • Certified public accountants

We have government training and relationships that give us a unique vantage point from which we can help protect our clients from potential criminal prosecution based on false accusations.

  • We know how federal agencies build a case – and we use the same techniques proactively to protect against potential criminal cases.
  • We speak and understand the same language as government prosecutors, allowing us to communicate in a way that assists in developing the most effective protection strategy for our clients.
  • Our federal investigative experience enables us to identify risky individuals and/or practices in a company and cultivate relationships with employees to preserve corporate integrity.
  • Through our affiliation with educational specialists from Second City Works, we can create a customized executive ethics training program for your company, if desired.

Someone is always listening. Someone is always watching.
YOU PROTECT YOUR COMPANY… WHO PROTECTS YOU?
Please call at 312-659-8441 or email at howard.stone@stonemcguire.com to discuss your initial risk analysis.

Stone McGuire & Siegel, P.C.
801 Skokie Blvd., Suite 200,
Northbrook, IL 60062
Phone: (847) 239-7555 | Fax: (847) 239-7556
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