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Investigation, Controls & Monitoring

Navigator Associates provides its clients with unparalleled global capabilities designed to help assess and execute on strategic opportunities, respond to and resolve crisis as well as mitigate corporate risks.  

Navigator’s array of investigative, controls & monitoring services are specifically designed to provide our clients with the interlocking tools necessary to effectively respond to and resolve suspected and actual business irregularities as well as mitigate the related risks.  Whether our capabilities are used singularly or as an integrated approach; our services can provide you with a decisive advantage.

Our spectrum of ICM services include:

Corporate Investigations

The Navigator Team has incredibly diverse and deep experience in responding to allegations of suspected or actual wrongdoing and successfully resolving the crisis.  We are highly skilled in establishing the facts to determine what has happened, identify wrongdoers, stop and recover losses as well as re-establishing trust with shareholders, partners, customers, suppliers, employees, regulators and other stakeholders.

Capable of operating on a global basis, Navigator can provide a range of investigative approaches, combining forensic financial auditing & accounting skills, forensic information systems capabilities and electronic discovery with traditional investigative tools.   Navigator can field investigative teams comprised of management consultants, former prosecutors, forensic auditors, accountants, private investigators, systems experts and computer forensic specialists.

Navigator is capable of rapid response to suspected business irregularity of all types including material, non-routine incidents which threaten the integrity of the enterprise.  We work closely with owners and/or executive management and legal counsel to effectively drive to a successful resolution of the crisis while maintaining stability of the business.

FCPA & Global Investigations

The United States Foreign Corrupt Practices Act (FCPA) as well as  similar regulations adopted by the UK and the EU, specifically outlaws payments to government officials “to assist in obtaining or retaining business.” The antibribery provision applies to all US citizens, residents and companies as well as to foreign individuals and entities if they are involved, directly or indirectly through third party agents.  Navigator and especially its Latin American Practice specialize in investigating allegations of FCPA violations, resolving the issues and/or providing deterrent services.

Corporate Contest, Proxy Battle & Takeover Intelligence

Hostile takeovers, proxy contests, activist shareholders, internecine corporate disputes and other contests for corporate control require aggressive strategies to help defend existing management groups from unwanted suitors and inadequate offers. Likewise, corporate aggressors often require detailed advance intelligence on their targets.

Navigator has over 20 years experience in assisting companies and their counsel in these demanding and sometimes difficult circumstances. We provide timely and actionable intelligence that may be used in strategy development, litigation, public relations, proxy solicitations and other decision-making purposes.

Internal Corporate Investigations

Unfortunately, even in the most well run organizations, there is always someone who is willing to step over the line and engage in acts of misconduct. Employees and former employees engage in a wide range of misconduct, from financial statement fraud to theft, economic espionage, harassment and workplace violence. Management and their counsel must rapidly assess and accurately investigate these allegations in order to make well-informed decisions based upon the facts. It is crucial that such investigations be viewed both internally and externally as "independent," affirming both a sound defense as well as establishing credibility in the workplace.

The experts at Navigator bring a wealth of experience in these matters, which must be handled with the utmost sensitivity, professionalism and discretion.  Whether our clients have already discovered or are merely suspicious of irregular activities, Navigator can uncover, interpret and resolve the issues. We navigate our clients through the complexities and emotions; from the initial detection of suspicious activity right through to resolution including litigation and/or law enforcement coordination.  We work to determine the what, why, who, when and how of the incident and implement an asset recovery and/or enhanced business controls strategy.

Navigator can provide the independence required, free from CPA firm audit-related conflicts of interest, to assure the integrity of the enterprise.

Forensic Financial Investigations & Accounting

All fraud investigations and many litigation cases have a financial component to them, whether it requires a "follow-the-money" approach, quantification of damages in order to prepare a "proof of loss" statement or disputing adversaries’ claims of financial loss.

Navigator can bring independent financial investigators and "forensic" accountants to bear in these circumstances. Unlike many of the large accounting firms and their ilk, our team brings a more focused, independent and cost effective approach to these matters.

Intellectual Property Dispute Investigations

In today’s business world, maintaining and protecting vital intellectual property is paramount to the survival of many companies. Whether it is a recently departed executive who has left for a competitor with customer lists or evidence of counterfeit goods, Navigator has had experience in investigating the circumstances and developing evidence to assist counsel in prosecuting and/or enjoining parties in individual cases. We also work with clients to help organizations prevent future instances of IP theft and to develop strategies for overall brand protection.

Litigation Intelligence

Savvy litigators strive to gain advantages over their adversaries wherever they can be found. Experienced Navigator professionals provide litigation intelligence support through careful investigation of facts and circumstances. Whether it is providing detailed profiles of opposing entities, determining an adversary’s likely litigation strategy, piercing the corporate veil, identifying, assessing and interviewing witnesses or searching for hidden assets, Navigator can help litigators be smarter and more effective advocates on behalf of their clients.

Deposition Intelligence, Witness Assessment & Identification

Navigator believes that clients armed with the best information about their opposition have a better chance of success in their cases. We develop facts and information about witnesses, friendly or otherwise to help shape deposition and testimonial strategy. Key witnesses and experts for either side should be carefully scrutinized for potential weaknesses, inconsistencies and conflicts of interest. In some cases, it is simply a matter of finding potentially helpful witnesses who are not readily identified, which can make all the difference in a case. Navigator assists counsel in the overall process of witness assessment.

Electronic Evidence & Computer Forensics

Virtually every internal investigation and employee misconduct case requires an examination of evidence that is stored on computers. Response to general litigation discovery requests and regulatory subpoenas can involve significant efforts to assemble and organize the appropriate electronic files. Navigator utilizes experienced computer forensics and e-discovery analysts to properly obtain or recover potential evidence in electronic form. Many of these professionals have testified in various jurisdictions as expert witnesses. Our focused and independent approach is ideal for clients seeking professional and cost effective means of developing electronic evidence.

Asset Search & Recovery

One of the most vexing problems for organizations that have won judgments in litigation, have subrogated recovery rights in fraud cases or are otherwise seeking recovery is whether or not the expense is worth the effort. Navigator takes a sensible, ethical, legal and pragmatic approach to asset search and recovery engagements. Given the many legal and regulatory constraints, we develop a mutually agreed upon plan to assess the assets of an adversary, often in advance of litigation, to determine the practicality of "putting good money after bad."

Total Business Controls Consulting

Navigator’s TBC Practice provides you with a framework for navigating through today’s risky business environment.  The Practice is focused on helping its clients to deter, detect and if necessary effectively respond to incidents of material, high impact, non-routine business irregularities including:

  • Fraud, theft and abuse of power.

  • Theft of information & intellectual property

  • Financial reporting problems and other business irregularities.

  • Hostile competitor actions and economic espionage.

  • Business process breakdowns and organizational mismanagement.

  • Violence against executives, staff and facilities

Navigator TBC consulting services will determine the overall strengths and weaknesses of your business processes and related controls’ environment. Identifying threats (existing and potential) and making organizational and process changes to strengthen controls and security over business operations.

Navigator’s  innovative methodology has been utilized in such diverse situations as the Bankruptcy of Orange County California, the evaluation of controls over the manufacturing of Purdue Pharma’s highly controversial narcotic, Oxycontin, the U.S. Department of Justice’s mandated monitoring of operational controls over the Los Angeles Police Department, the evaluation of global exam controls for the Chartered Financial Analyst Institute as well as numerous confidential engagements for Fortune 1000 and other organizations. 

Corporate Security Consulting

  • Physical Security Audits & Penetration Testing

  • Electronic Security Audits & Penetration Testing

  • Workplace Violence Prevention & Threat Response

  • At Risk Employee Termination Assistance

  • Executive Protection & Travel Security

  • Special Event Security

  • Crisis Management Planning & Response

  • Loss Prevention Consulting

Integrity Monitoring Services

Continuous Integrity Controls Monitoring

Navigator Associates Monitoring Practice is an outgrowth and an extension of its innovative Total Business Controls Consulting Practice.  Our Monitoring approach integrates and sequences the Firm’s TBC evaluation as a front-end with a unique blend of investigative, auditing, intelligence and other monitoring tools to develop a very robust continuous controls monitoring process. 

Navigator has created monitoring programs for the private sector to deter fraudulent and/or unethical activities and to assure organizational integrity. We have significant experience in monitoring operations on behalf of government entities where there has been some level of misconduct detected in an organization subject to substantial government oversight or by court order.  This approach has been the decisive factor in successfully monitoring such sensitive engagements as:

  • The monitoring of controls over the manufacturing of Purdue Pharma’s highly controversial narcotic, Oxycontin.  In this highly charged engagement Mr. Verna’s Business Controls Consulting Practice was teamed with Giuliani Partners as the Independent Monitor.

  • The U.S. Department of Justice’s mandated monitoring of operational controls over the Los Angeles Police Department,

  • The evaluation of global exam controls for the CFA Institute,

  • As well as numerous confidential engagements for Fortune 1000 and other organizations

Know Your Customer Intelligence

By statute financial institutions are required to "know their customers" by conducting basic due diligence. Navigator provides its financial institution clients with cost effective means to vet their customers for compliance, as well as for good business practice purposes.

Executive, Partner & Vendor Screening & Integrity Assurance
Our experience has shown that a significant percentage of corporate fraud involves vendors – as much as 50 percent or more of the cases overall. Improper executive and partner relationships with vendors, including kickback schemes, false vendors and conflicts of interest arrangements are not uncommon. Such control failures are often compounded and more difficult to unearth when there is an international aspect to the relationship. The specter of potential violations of the Foreign Corrupt Practices Act can also raise its ugly head and create severe potential liabilities for US based companies.

The professionals of Navigator have worked with organizations to develop sensible, cost effective vendor screening programs as well as investigate allegations of executive, partner and/or vendor fraud.

Hedge Fund Management Integrity

In recent years, there has been an explosion in the growth and number of hedge funds. While often-attractive investment opportunities, these vehicles pose special challenges due to their relative lack of regulation and transparency. As a result, the investment world has been routinely rocked by major frauds perpetrated by unscrupulous hedge fund managers. International Management Associates, Bayou Securities, KL Financial Services, Wood River Capital Management and Global Money Management, come to mind as a few of the more spectacular hedge fund fraud disasters.


Navigator professionals have experience in working with investment management companies and others to vigorously screen and properly conduct hedge fund manager due diligence. Evidence of prior misconduct, censures, unhappy clients, or conflicts of interest is generally the best indicator of the future of a hedge fund and we help bring these issues to light for our clients.

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