State AG Investigations vs. Federal Investigations: Key Differences and How to Prepare for Both (Presented by Troutman Pepper Locke)

This session examines the contrasting procedural frameworks between state Attorney General investigations and federal enforcement actions. Participants will learn how state AGs derive authority from enabling acts, parens patriae powers, and statutory mandates like the Texas DTPA, while exploring how federal investigations are initiated through whistleblowers, grand jury subpoenas, and agency referrals.

This session explores the differing evidentiary standards between state and federal investigations, from preponderance of evidence in AG matters to beyond a reasonable doubt in federal criminal cases. Attendees will examine how intent requirements vary significantly, with state consumer protection statutes often requiring no proof of intent while federal prosecutors focus heavily on establishing mens rea and individual accountability.

A brief intermission allowing participants to refresh before continuing with the remaining program content. Use this time to review materials and prepare questions for upcoming sessions.

This session analyzes the range of possible outcomes from both state AG and federal investigations, including civil penalties, criminal sanctions, consent judgments, and deferred prosecution agreements. Participants will examine how parallel proceedings multiply exposure and learn why factors like debarment, reputational damage, and follow-on private lawsuits must factor into defense strategy.

This session focuses on understanding what drives resolutions in state AG versus federal matters, including political priorities, enforcement gaps, and self-disclosure incentives. Attendees will learn practical compliance and communication strategies such as proactive AG engagement, robust compliance programs, and building credibility with enforcement authorities before investigations arise.