White Collar, Investigations and Compliance

Government investigations and enforcement proceedings can arise without warning, creating significant peril for you and your business. Our white-collar litigators can help you find a resolution.

Navigating Issues Arising from Government Investigations and Enforcement Proceedings

Kelley Drye advises and defends corporations and individuals facing criminal exposure—as well as civil and administrative enforcement procedures—quickly, comprehensively, and discreetly. With the experience of former prosecutors, certified specialists, and years of combined experience in both public and private legal sectors, we deliver the favorable results our clients need.

When investigations result in indictments, enforcement actions, or lawsuits, clients turn to us for strategic defense counsel and trust our record of winning acquittals in criminal trials. We have achieved great results for clients—without prosecution, litigation, or publicity.

We align our approach to each client’s legal and business objectives and are meticulous in our investigation, analysis, and dedication. Our approach is grounded in decades of successfully representing multinational Fortune 500 senior business executives, corporate entities, trade associations, universities, professional organizations, political action committees, public and private corporations, members of Congress, and state officials.

Strategic Approach to Managing Parallel Proceedings

We have extensive experience counseling clients with the issues involved in parallel criminal, regulatory, and civil actions. We take an integrated and coordinated approach and leverage the skills of the firm’s lawyers in other relevant practice areas. We assist clients in both criminal and civil investigations and related proceedings in such matters as:

Anti-money laundering
Antitrust
Campaign finance law compliance
Environmental crimes
Ethics rules
FINRA
Foreign Corrupt Practices Act
Gift rules
Government contracting and procurement fraud
Healthcare fraud
Independent investigations
Public corruption
Qui tam False Claims Act
Regulatory reporting and licensing
Sanctions, customs, and export controls violations
Securities fraud and insider trading

Delivering Favorable Results at Trial

When cases go to trial, we have the proficiency to obtain favorable outcomes for our clients. In addition to numerous trials in federal and state courts in multiple jurisdictions, Kelley Drye’s courtroom-tested trial lawyers represent clients before both courts and regulatory agencies. Nothing can take the place of experience in the courtroom for an effective defense, and our firm delivers consistent results to our clients.

A Focus on Client Objectives

We manage both discreet, sensitive internal investigations and broad multifaceted government investigations. We offer regulatory and compliance counseling on business and industry risk before risks are realized. This includes staying current on changing regulatory requirements to help guide our clients’ business. We distill complex regulations into actionable advice and help our clients navigate through regulatory and operational challenges.

We are fluent in anti-money laundering (AML), fraud prevention, economic sanctions, Foreign Corrupt Practices Act (FCPA), False Claims Act (FCA), and Office of Foreign Assets Control (OFAC) rules and regulations, including compliance counseling and enforcement matters. AML requirements, counterterrorist financing regimes, know-your-customer (KYC) rules.

Sanctions regimes are increasingly complicated and continue to evolve. Our team is prepared to handle and solve enforcement problems, evaluate your company’s existing policies and procedures, and offer hands-on guidance to create and implement new programs while incorporating best practices that meet regulatory expectations.

Team Members

Represented vice president of Caremark, Inc., a large health care company, in federal prosecution in Minneapolis of alleged payment of kickbacks to doctor for referrals of patients on human growth hormones. Our client was acquitted of all charges following a 10-week trial.
Represented health care company sales executive in federal prosecution in Southern Illinois of alleged payment of kickbacks to a medical equipment distribution company. Judge granted motion for judgment of acquittal at conclusion of government’s Case in Chief.
Represented a former New York Stock Exchange specialist in an extensive SEC hearing involving allegations of stock fraud relating to trading activity. Resulted in a ruling of no violations of the SEC Securities Act.
Won the largest verdict—$25.2 million—in the Northern District of Illinois on behalf of a single client in claims related to a wrongful conviction.
Represented an executive facing federal conspiracy and fraud indictment in connection with business pursuits.
Represented medical professionals in federal health care fraud investigations.
Obtained dismissal of charges against a professional athlete falsely accused of criminal conduct.
Represented a foreign currency trader in a DOJ criminal investigation of possible antitrust fraud and violations relating to fixing currency trade prices, which resulted in decisions not to prosecute.
Represented the owner of an heir location services company in a criminal antitrust investigation by the DOJ regarding price fixing.
Representing SUNY in the DOJ’s investigation of Governor Cuomo’s economic incentive plan known as “Buffalo Billions.”
Represented The City of New York and Department of Transportation executives in the federal investigation that followed the crash of the Staten Island Ferry vessel Andrew J. Barberi in October 2003 and subsequently advising the City’s Law Department on electronic discovery strategies and related compliance issues.
Represented executive of company in antitrust Grand Jury investigation of pigments-for-dyes industry, which resulted in a decision not to prosecute.
Secured the dismissal of charges against a developmentally disabled teenager wrongfully accused of robbery.
Represent a director on the compensation committee of a publicly traded company in an investigation by the SEC and DOJ into stock options backdating.
Represented a senior business executive in connection with the DOJ and SEC investigations involving mutual fund market-timing.
Represented a Fortune 100 company in all matters relating to the alleged illegal bond trading activities of the senior vice president of the company’s pension fund. Conducted a parallel internal investigation that resulted in recovery of 80% of lost funds.
Represented an elected official in Illinois on federal criminal prosecution on charges of extortion and bribery.
Represented a broker in an SEC fraud investigation relating to the sale of Asset Backed Commercial Paper. Filed a Wells response that resulted in an SEC decision to close out the case without seeking any changes.
Represented a financial institution in a FinCEN investigation of compliance programs. The investigation concluded with no action taken by FinCEN.
Represented a professional partnership before the Federal Election Commission in a case involving alleged bribery and improper contributions. The investigation concluded with a minor civil penalty and averted official action on the disproven bribery allegation.
Represented a political consultant in an FBI investigation regarding serious allegations of federal law violations in a presidential election and parallel state ethics investigation.

Investigations

Investigated on behalf of the Japanese manufacturer of heavy equipment for energy and petrochemical industry into allegations that a manufacturer’s representative working on their behalf had committed fraud. The investigation entailed interacting with the manufacturer’s domestic and international customers, including customers in South America and Canada. The matter was resolved without litigation.
Conducted internal investigations and counseling the global leadership of a Fortune Global 500 corporation in connection with its internal policies against the backdrop of U.S. litigation and regulatory inquiries.
Conducted internal investigations for companies following the threat or imposition of discovery sanctions and considering the implications of international data protection laws for these matters.
Conducted a parallel internal investigation for a large construction company in Mexico and Panama and presented findings to the U.S. Attorney for Southern District of Florida, which resulted in decision not to prosecute for bank fraud.
Represented one of the largest financial institutions in the world in a grand jury investigation relating to the possible violation of the Export Control Act. Conducted an internal investigation and presented the findings to the U.S. Attorney for the Southern District of New York, which resulted in a decision not to prosecute the financial institution.
Conducted an internal investigation for a worldwide air freight company in a grand jury investigation concerning a shipment of military aircraft parts to Iran. We presented the findings to the U.S. Attorney for the Northern District of Illinois, which resulted in a decision not to prosecute company.
Conducted an internal investigation for a Fortune 500 pharmaceutical company in an FDA/Customs case of illegal importation of misbranded antibiotics into the United States. Represented the client in a grand jury investigation. Our client was not indicted, while other individuals were indicted.
Conducted an internal investigation for one of the nation’s largest professional organizations relating to the sale of a valuable city block of land that they owned.
Conducted an internal investigation for a Big Ten university relating to gambling activities by student athletes. At the conclusion of the investigation, we presented our findings to the U.S. Attorney, which led to the indictment of a number of individuals and self-reported to the NCAA.
Conducted an internal investigation relating to the death of a football player for a Big Ten university in connection with training drills and whether NCAA violations had occurred and did self-report to the NCAA.
Conducted an internal investigation for one of the world’s largest telecommunications companies relating to possible violations of the Iranian Transaction Regulations concerning contracts for TV broadcasting via satellite and did self-report to the OFAC.
Conducted an internal investigation for the acquiring company in connection with possible fraud in the acquisition of another company. The investigation resulted in the seller returning a significant portion of the sales proceeds to our client, the acquirer.
Designed and implemented electronic discovery strategies for complex U.S.-based and international investigations, including a 60-country internal investigation for a major multinational corporation implicating international data protection laws.
Performed an internal investigation for a New York state not-for-profit agency to respond to a state investigation involving the misappropriation of taxpayer funds, no-show employees and related allegations. Guided our client through the investigation, negotiated survival of the agency with state investigators, and assisted the client in implementing new executive leadership and reforming board governance and corporate compliance policies.
Performed an internal investigation of the U.S. operations of a large foreign conglomerate that uncovered corporate malfeasance, including the misappropriation of corporate funds, breaches of fiduciary duty and falsification of business records. Recovered a large portion of the misappropriated funds.
Performed an independent investigation for an energy company and allegations of improper attempts to influence government officials, resulting in employee discipline and protecting the company from civil or criminal sanction.
Conducts internal investigations on behalf of a receiver for failed banks to determine the facts, identify potential claims, trace funds, and preserve and recover assets.