Extensive Government and Internal Investigation Experience. Notable Results.
White collar defense and regulatory issues can arise without warning, and require experience, finesse, and judgment to resolve favorably. Whether it is a search warrant, “target letter,” “Wells Notice,” subpoena, interrogation, grand jury appearance, whistleblower claim, or civil investigative demand, our White Collar & Government Enforcement attorneys are prepared to respond quickly, investigate thoroughly, master the facts, and provide trustworthy and reliable counsel. Many of our attorneys are former government lawyers, including federal prosecutors with direct, practical experience. Although some of our best victories are resolved without publicity, we’re also ready, willing, and highly capable of taking a case “to the mat,” when diplomacy fails. We also help our clients enhance compliance policies and procedures to avoid government investigations and other compliance risk.
Saul Ewing attorneys are notable trial lawyers with extensive experience representing clients in government enforcement actions. We counsel clients on a variety of statutes and regulations including: wire, mail, and tax fraud, the False Claims Act (FCA), the Food, Drug, and Cosmetics Act (FDCA), the Foreign Corrupt Practices Act (FCPA), the General Data Protection Regulation (GDPR) and other data privacy and cybersecurity regulations, the Foreign Agents Registration Act (FARA), the Bank Secrecy Act (BSA), anti-money laundering (AML) regulations, securities laws, government contracting regulations, and government lobbying activities, among others. Drawing on our experience in these heavily regulated areas, we have successfully represented our clients in matters before numerous federal, state, and local agencies and regulators.
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By way of example, Saul Ewing attorneys advised on these select white collar and government enforcement representations:
Financial Services Industry
- A bank in advising on an investigation by the DOJ, SEC, CFTC and U.K. Financial Services Authority into the possible role of the bank’s employees in the improper submission of rates to the London Interbank Offered Rate (LIBOR) panel.
- A private equity firm in an internal investigation in response to a FINRA inquiry into possible front-running by one of its employees.
- A publicly-traded financial institution through multiple highly sensitive investigations and compliance matters arising from alleged securities fraud and stock-price manipulation.
- Financial institutions in providing advice on the effectiveness of various programs and internal controls designed to detect, prevent, and report illegal activity and promote compliance with BSA, OFAC and FinCEN regulations.
- Financial institutions, insurers, high net worth individuals, and others in investigating and litigating claims related to wire/ACH fraud, check fraud, business e-mail compromise schemes, fraudulent transfers, voidable transactions, and similar situations where a loss caused by an unknown criminal actor beyond the reach of the law must be apportioned among innocent or less culpable parties.
- Served as United States Special Master in a contentious federal litigation involving a bank’s responsibility for failing to detect or prevent a multimillion-dollar embezzlement by one of its (now-convicted) customer’s employees.
Life Sciences & Health Care Industries
- Medical providers and companies in internal investigations regarding False Claim Act allegations and Civil Investigative Demands.
- A medical diagnostics company in an internal investigation regarding Foreign Corrupt Practices Act (FCPA) allegations.
- A biotechnology company in an internal investigation of an insider espionage threat.
- A medical services company in an anti-competitive behavior investigation by the Nevada Attorney General.
- Mallinckrodt Pharmaceuticals as the Court-appointed independent Monitor (appointed by the District of Delaware Bankruptcy Court) arising from national opioid litigation. Mallinckrodt’s settlement requires the Monitor’s oversight of Mallinckrodt’s opioid compliance program.
- Endo International plc as the Court-appointed independent Monitor (appointed by the Southern District of New York Bankruptcy Court) arising from national opioid litigation. Endo’s settlement requires the Monitor’s oversight of Mallinckrodt’s opioid compliance program.
- A medical practice in U.S. Department of Justice civil False Claims Act investigation related to use of certain medical products. Following presentation by our team demonstrating that the physician engaged in no misconduct and appropriately used product to achieve medically necessary and excellent results, DOJ advised they had no intention to pursue further investigation or to file a lawsuit under the FCA.
- Doctors, pharmacists and various other clients in the health care industry in defending against investigations and litigation, including cases involving allegations of health care fraud, false claims, improper prescribing/dispensing practices, or improper billing practices.
- A large elder-care organization responding to a civil investigative demand addressing specific patients and client facilities from the DOJ, which was investigating False Claims Act allegations that had been referred to it by CMS. We narrowed the subpoena, ensured full compliance with it, and led a proffer session explaining the weaknesses of the government’s case. DOJ declined to take any enforcement action.
- A primary care practice, urgent care center, and imaging center owned by the same doctor in a DOJ investigation regarding alleged recordkeeping and billing inconsistencies during the Covid-19 pandemic. We engaged an independent expert to testify to the medical necessity of all treatments and negotiated with private payors to reduce amounts claimed. As a result, the DOJ closed the investigation without further action.
Individuals
- An individual in connection with a U.S. Securities and Exchange Commission investigation which resulted in decision by SEC to terminate investigation.
- A defendant in an alleged cybercriminal network involved in “swatting” attacks (i.e., false 911 calls for emergency response) as well as computer intrusion, “SIM swapping,” online harassment, and crypto currency theft. This case involves alleged conspiratorial conduct in multiple jurisdictions as well as international actors.
- A former professional athlete in an international law enforcement investigation into match-fixing resulting in no enforcement action.
- An individual indicted on federal charges of embezzlement/fraud, conspiracy, money laundering, filing false tax returns, and willful failure-to-file tax returns with both criminal defense and the seizure of numerous commercial and personal assets. We negotiated several charges being dropped in a plea bargain, as well as multiple interlocutory asset sales to preserve value for all parties.
- Multiple employees of a large chemical industrial manufacturer (a publicly traded, global company), as “pool counsel,” in connection with a highly publicized leak of material into interstate waterways, which prompted investigation by numerous state and federal agencies.
- A witness in the FTX investigation conducted by the U.S. Attorney’s Office for the Southern District of New York.
- A state governor in a DOJ investigation of a pipeline permitting process involving allegations of improper influence that the state governor strongly denies.
- A media and entertainment producer charged with a federal felony.
- A technology company CEO in a fraud case charged in federal district court.
- A former technology company executive related to a criminal investigation conducted by the Southern District of California resulting in no enforcement action.
Government Contractors
- A defense contractor in an investigation conducted by a state task force into possible corruption in state funding allocations.
- A government contracting consulting company in an investigation by the DOJ and multiple state attorneys general in an alleged FCA case.
- A defense contractor who had been charged with federal felonies resulting in the dismissal of all charges.
Education Industry
- A large public university on the creation and implementation of an anti-bribery and anti-corruption policy for purposes of compliance with the FCPA.
- A charter school management company in an internal investigation regarding allegations of misappropriation of public funds.
Other Industries
- A utility company in conducting an internal investigation in response to an ethics hotline complaint alleging misconduct by one of the company’s executives.
- A property management company in a confidential internal investigation in connection with inquiry by government agency.
- Persuaded U.S. Attorney's Office of the Southern District of New York, and the New York Regional Office of the U.S. Securities and Exchange Commission, not to proceed with charges against a client in an insider trading investigation, after the SEC had expressed its intention to do so in a "Wells Notice" issued to the client.
- A cultural affinity organization in a confidential internal investigation in connection with public reports alleging foreign influence.
- A religious-cultural organization in responding to inquiry by U.S. Department of Justice FARA Unit.
- A research entity in an investigation into internal reports of accounting irregularities and fraud/tax issues that resulted in prompt and confidential employment action, corporate adjustments, necessary restatements, and improved internal controls.
- A company in a securities and mail fraud investigation of cryptocurrency by the U.S. Attorney’s Office for the Northern District of California.
- A non-profit organization in an internal investigation facing a parallel government investigation.