Leal PLLC Website

Compliance

Investigations

Litigation

Serving clients based on our values of Integrity, Service, and Excellence.

Practice Areas

Compliance Programs

Provide guidance to companies building and enhancing their compliance programs, ensuring alignment with DOJ and SEC expectations.

Internal Investigations

Targeted domestic and cross-border investigations conducted efficiently and transparently.

Compliance Advisory

Advise corporate boards, General Counsel and Chief Compliance Officers across all hallmarks of an effective compliance program.

Litigation

Represent public corporations, private companies, and individuals in commerical disputes in federal and state courts.

About the Firm

Leal PLLC focuses on three practice areas: anti-corruption compliance programs, internal investigations, and commercial litigation. Experienced in handling major anti-corruption matters involving violations of the U.S. Foreign Corrupt Practices Act, Leal PLLC provides clients with best-in-class services designed to ensure appropriate risk mitigation and alignment with U.S. Department of Justice and Securities and Exchange Commission expectations for corporate compliance and internal investigations programs. With experience handling compliance and investigation matters across the Americas, Europe, Africa, Asia and Australia, Leal PLLC can ensure that your company manages these matters appropriately and cost-effectively.

Anti-corruption laws are complex and evolving; it is critical for businesses to navigate these regulations to ensure their continued success in an ever-changing landscape. Leal PLLC helps clients build and evaluate their compliance programs, regularly assisting with third-party risk management, risk assessments, policies and procedures, compliance audits, M&A due diligence, and training programs. Leal PLLC also assists organizations identify unique risks, assess existing compliance programs, and develop plans to enhance their programs that are pragmatic and effective.

Companies may encounter an array of allegations that can be disruptive to their business and conducting a well-scoped and timely investigation is necessary to addressing issues efficiently to allow companies to continue operating optimally. Leal PLLC has the capabilities to conduct domestic and cross-border investigations quickly and transparently and has conducted investigations across the globe dealing with corruption, accounting fraud, violations of policies and procedures, confidential information, conflicts of interest, sexual harassment, and misappropriation of company assets. Plus, Leal PLLC ensures that internal investigations account for cultural sensitivity, ensuring that we treat all subjects and witnesses with respect, and ensure investigations meet local legal requirements related to data privacy and unions. After concluding an investigation, Leal PLLC advises clients on appropriate discipline and remedial measures, including enhancements to their compliance programs to mitigate risk going forward.

In commercial litigation, Leal PLLC has pursued and defended multimillion dollar disputes for publicly traded corporations, private companies, and individuals for breach of contract, fraud, tortious interference, breach of fiduciary duty, negligence, and other commercial actions in state and federal courts. Our objective is to achieve our clients’ goals in the most cost-effective manner.

Representative Experience

Compliance Programs

Former Chief Compliance Officer and legal & compliance executive who guided publicly traded companies on their Deferred Prosecution Agreements with the U.S. DOJ and SEC and associated monitorships for violations of the U.S. Foreign Corrupt Practices Act.

Fortune 200 global telecommunications and technology company

$1.1 billion USD penalty and associated monitorship
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Multinational industrial services, engineering, and construction company

$32 million USD penalty and associated monitorship
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Global water management, construction and drilling company

$5.9 million USD penalty and reporting obligations
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Internal Investigations

Led and conducted domestic and cross-border investigations in high-risk markets, and implemented internal investigations systems that satisified regulatory requirements.

Cross-border investigation of senior executive for allegation of corrupt payments to public officials. Investigation outcome resulted in disciplinary measures and enhancements to system of internal controls to reduce risk of reoccurrence.
Internal investigation of senior leader for allegations of sexual harassment and hostile work environment. Investigation outcome led to the termination of the senior official, a cultural risk assessment, and training for executives and senior leaders on how to indentify and report similiar issues going forward.
Cross-border investigation of senior leader for allegations of falsification of company records and circumvension of internal controls. Investigation outcome led to the termination of the senior leader, engagement of public authorities, and a compliance audit of the company’s controls framework.

Compliance Advisory

Experience advising companies across all hallmarks of an effective compliance program, including commitment from senior management, policies and procedures, risk assessment, compliance training, third party due diligence, monitoring and testing, allegations and investigations, and M&A due diligence. Helped companies achieve monitorship certification and a full release from further DOJ and SEC settlement obligations.

Boards of Directors

Trained and advised board directors on their legal & compliance oversight responsibilities including their fiduciary duties of loyalty and care, and compliance program monitoring.
Advised board directors on managing adverse media and related risks.

Mergers and Acquisitions

$6.2 billion USD acquisition of cloud communications provider

Led and advised on pre-acquisition due diligence and post-closing integration

$1.1 billion USD acquisition of cloud-based networking technology company

Led and advised on pre-acquisition due diligence and post-closing integration

Third Party Management

Developed third party management programs for publicly traded programs operating in high-risk juridictions.
Advised companies on mitigating the risks of third parties, enabling them to operate effectively while minimizing risk exposure.

Commericial Litigation

Represented publicly traded corporations, private companies, and individuals in high stakes commerical disputes.

Represented medical facility developer in breach of contract dispute for $25 million dollars resulting in favorable confidental settlement.
Represented professional sports franchise against former team executive for trade secrets violations.
Defended Fortune 100 company in labor and employment dispute over accrued vacation liabilities.

Sergio V. Leal

Founder & Managing Partner

J.D., Columbia Law School

B.A., The University of Texas at Austin, with honors

Adjunct Professor, Compliance and Anti-Corruption Law, Thurgood Marshall School of Law

Foreign Languages: Spanish

Admissions: Texas

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