Background - Practices (Details)

White Collar & Regulatory Enforcement

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Representative Engagements

Anti-Corruption / Foreign Corrupt Practices Act

  • Represented the former Interim Chief Compliance Officer, Vice President, Assistant General Counsel, and Assistant Secretary of a publicly-traded Fortune 500 company in DOJ and SEC investigations, as well as an internal investigation related to the company’s self-disclosure of potential FCPA violations.
  • Represented the managing director of a global investment bank, in connection with the high-profile “Sons & Daughters” investigation into the bank’s hiring practices in Asia. The DOJ, SEC, and Federal Reserve Board FCPA investigation brought under scrutiny the bank’s client referral hiring program whereby friends or family members of executives at Chinese companies were hired as part of relationship building. In defending an enforcement action by the Federal Reserve, negotiated a settlement involving no monetary penalty or admission of liability.
  • Conducted an internal investigation in Argentina on behalf of Ralph Lauren Corporation and led the self-reporting to and negotiations with the SEC and DOJ in a matter involving allegations of FCPA violations. Successfully resolved the case through unprecedented dual non-prosecution agreements with the SEC and DOJ. This was the first-ever non-prosecution agreement that the SEC entered into involving the FCPA.
  • Represented a former NYSE-listed company during a six-year internal DOJ/SEC investigation concerning their operations throughout Eastern Europe. Negotiated a two-year deferred prosecution agreement (DPA) with the DOJ, and secured dismissal of criminal information upon successful conclusion of the DPA.
  • Advised a publicly-traded medical device company in an internal cross-border investigation of alleged fraud, embezzlement, and corruption across the company’s operations in China, Germany, Slovakia, and Austria that included allegations of possible Iran sanctions violations.

Anti-Money Laundering

  • Successfully represented the Chief AML Compliance Officer at a national bank in connection with criminal and civil investigation into Bank Secrecy Act violations conducted by the U.S. Attorney’s Office for the Southern District of New York, resulting in no adverse action taken against our client.
  • Acted as lead counsel on behalf of a well-known broker-dealer in FINRA enforcement investigation regarding allegations of trading unregistered securities without appropriate money-laundering detection capabilities in place. Negotiated a favorable settlement with FINRA.
  • Represented a non-U.S. financial institution in a $4 billion corruption and money laundering investigation initiated by the U.S. and multiple other jurisdictions.
  • Represented individuals from the Los Angeles’ garment industry in connection with investigations involving money laundering.

Congressional Investigations

  • Representing a major social networking technology company in a U.S. House Oversight and Reform investigation into privacy and cybersecurity matters.
  • Representing a major national manufacturer of children’s products in a recent investigation before the U.S. House Oversight and Reform Committee and its Subcommittee on Economic and Social Policy.
  • Represented a global pharmaceutical manufacturer in connection with a DOJ grand jury investigation, various State Attorneys General investigations, and follow-on class action lawsuits concerning alleged price-fixing in the generic pharmaceutical industry
  • Represented a major Fortune 20 U.S. prescription drug and medical device distributor and CEO before the U.S. House Committee on Energy and Commerce and multiple State Attorneys General offices during the opioid crisis.
  • Represented a major national health care company in a recent investigation by the U.S. House Homeland Security Committee, the U.S. House Oversight and Reform Committee, and the U.S. House Energy & Commerce Committee regarding the Trump Administration’s handling of personal protective equipment purchase and distribution in the U.S. during the COVID-19 crisis.
  • Represented a major U.S. government contractor in a congressional investigation before the House Committee on Oversight and Government Reform related to the execution of a U.S. Department of Defense contract in the Middle East.

Criminal Antitrust

  • Representing a large international manufacturer in connection with a high-profile DOJ investigation and related civil litigation into potential price-fixing and market allocation in the generic pharmaceutical industry.
  • Obtained a favorable result for a government contractor in connection with a criminal bid-rigging investigation by the DOJ’s Procurement Collusion Strike Force.
  • Represented a multinational auto parts supplier and multiple Japanese nationals in connection with the DOJ’s worldwide investigation of the auto parts.
  • Represented a global shipping company in connection with a DOJ grand jury investigation alleging bid-rigging and price-fixing in the container ship market. The DOJ Antitrust Division closed the investigation without bringing charges against any companies or individuals.
  • Representing senior employees of a major poultry and beef supplier in connection with an industry-wide DOJ antitrust investigation

Environmental Crimes

  • Defended a major construction company on felony charges, obtaining an acquittal following a month-long jury trial involving Clean Air Act and related allegations.
  • Represented an asbestos remediation company and its chief executive in connection with federal charges of defrauding the EPA and the Occupational Safety and Health Administration (OSHA) in their licensure, oversight, and enforcement functions.
  • Advised several mining companies in high-profile investigations regarding alleged criminal violations of the Mine Safety Act.
  • Defended an owner of a wholesale seafood company in a five-week jury trial concerning allegations of illegally harvested striped bass under the Lacey Act.

Export Controls

  • Represented a U.S. information and software provider in responding to, and the successful closure of, an OFAC subpoena related to Russia sanctions matters.
  • Supervised prosecution of two multi-national financial institutions, which agreed to collectively pay over $2.2 billion to resolve criminal and regulatory charges that the institutions violated economic sanctions targeting Iran and Sudan.
  • Counseled a U.S. exporter of navigation electronics in responding to a subpoena on diverted retail products to embargoed destinations. The U.S. Department of Commerce’s Bureau of Industry and Security did not find the exporter at fault for diversion of these products by third parties.
  • Supervised prosecution of the largest publicly-traded telecommunications manufacturer in China — and the fourth largest in the world — for conspiring to violate the International Emergency Economics Powers Act (IEEPA), resulting in a guilty plea for illegally shipping U.S.-origin items to Iran, obstructing justice, making a material false statement, and the largest criminal fine ever obtained by the DOJ in an IEEPA case.
  • Represented multiple major U.S. broker-dealers in disclosure of apparent violations to OFAC. Matters included:
    • Responding to OFAC subpoenas related to transactions by customers using IP addresses associated with sanctioned jurisdictions.
    • Advising on ability to engage in securities transactions for companies involved in active mining operations in Cuba.
    • Assessing potential penalties and defenses relating to a group of 15,000 potential sanctions violations and advising on disclosure to OFAC.

False Claims Act

  • Representing Fortune 100 transportation company in parallel criminal and False Claims Act investigations of alleged massive overcharging of the federal government based on misrepresentations of contract performance.
  • Secured a $117 million FCA judgment against individuals accused of violating the Anti-Kickback Statute.
  • Defended defective-pricing-based False Claims Act case (in federal district court - one of the few tried to conclusion) principally involving alleged nondisclosure of changes to a bill of materials.
  • Conducted a nine-month internal investigation of a health care medical device company regarding allegations of kickbacks, off-label marketing, and other health care compliance issues.
  • Investigated whistleblower allegations regarding accounting and internal governance/compliance issues into $5 billion non-U.S. headquartered company and its U.S. subsidiary, reporting results to external auditor.

Health Care Fraud & Abuse

  • Represented a pool of employees at a publicly-traded pharmaceutical company in connection with a federal criminal and civil health care fraud investigation.
  • Represented a health care executive in a criminal RICO, fraud, and money laundering prosecution in the U.S. District Court for the Southern District of New York.
  • Representation of a hospital responding to a federal investigation into whether the hospital paid kickbacks to cardiologists in exchange for patient referrals through free rent, higher than appropriate medical director compensation or other measures.
  • Representation of a major medical device manufacturer in responding to a whistleblower complaint alleging the company paid kickbacks to certain "group purchasing organizations" (GPOs) in order to qualify its medical devices for eligibility for purchase by the GPO's hospital members.

Insider Trading

  • Represented Cameron Collins, son of U.S. Congressman Christopher Collins, in a high-profile insider trading case prosecuted by the U.S. Attorney’s Office for the Southern District of New York. Cameron received a non-incarcerated sentence.
  • Advised a number of public corporations and registered entities along with their executives in connection with FINRA insider trading reviews and enforcement investigations.
  • Represented multiple individuals in connection with insider trading investigations by FINRA and the SEC as well as internal investigations.

Internal Investigations

  • Conducted an internal investigation on behalf of a multinational telecommunications company regarding allegations of wide-spread bribery in the Asia-Pacific region, advised on remediation, and conducted global training of all sales representatives and distributors.
  • Conducted an internal investigation in the United States on behalf of a prominent crypto currency company in connection with allegations of misrepresentation and fraud.
  • Representing a managing director of a multinational investment bank in an internal insider trading investigation.
  • Conducted an internal investigation on behalf of a Fortune 100 company relating to alleged accounting improprieties at one of their foreign-based subsidiaries.
  • Advised a major international air cargo company in defending against investigations by the DOJ and European Union authorities, including the establishment of an overseas process for the collection, processing, and review of documents potentially subject to EU privacy laws.

Monitorships & Independent Counsel

  • Glen McGorty was appointed by the U.S. District Court for the Southern District of New York as the Independent Monitor to oversee the operations of the New York City District Council of the United Brother of Carpenters, and its Benefit Funds. Since January 2015, his primary mandate is safeguarding the union against infiltration by organized crime and other criminal groups. He also oversees investigations into other union operations, monitoring elections, and provides perspective on governance matters.
  • Preston Pugh was appointed by a federal district court in one of the Equal Opportunity Commission’s largest monitorships to date involving racial discrimination and harassment.
  • Preston Pugh was the first monitor (IPSIG) appointed by the Waterfront Commission of New York and New Jersey Harbors, overseeing a stevedore’s efforts to root out organized crime.
  • Counsel to the independent corporate monitor for a major multinational oil and gas exploration and production company as part of the company’s FCPA deferred prosecution agreement.
  • Monitored corporate integrity and compliance efforts, including the supervision of revised ethics and compliance policies and procedures, for a U.S. government construction contractor performing classified contracts.

Procurement Fraud

  • Represented a leading national construction company in connection with state and federal allegations of procurement fraud and bid-rigging in connection with a large municipal contract.
  • Represented a major food supplier in parallel criminal and civil investigations relating to federal prime vendor contracts.
  • Tried and obtained a defense verdict for a globally significant government contractor in a False Claims Act case involving allegations of procurement fraud, with over $1 billion in claimed damages.
  • Represented a foreign company in parallel criminal, civil, and congressional investigations relating to alleged fraud in connection with over $1 billion in government contracts.

Public Corruption

  • Represented a former New York City government employee in public corruption criminal investigation by the U.S. Attorney’s Office for the Southern District of New York.
  • Represented the former president of multiple nonprofit organizations, in connection with a five-count federal criminal indictment in the U.S. District Court for the District of Columbia. The government alleged our client schemed to falsify, conceal and cover up material facts from the House of Representatives Ethics Committee by submitting false Trip Sponsor Forms. Successfully negotiated terms with the DOJ in which our client received a very favorable sentence of time served and a fine.
  • Represented the founder and executive director of a high-performing charter school against charges of misappropriation of public funds, embezzlement, tax fraud, and conflict of interest.
  • Represented an accused double-agent in a highly publicized espionage case, in which we secured the dismissal of all charges based on prosecutorial misconduct, negotiated a global resolution of all criminal and tax matters and the return of most of the client's seized assets.
  • Represented a prominent Department of Defense government contractor in connection with a public corruption and FCPA investigation by the DOJ.

Securities Enforcement

  • Represented the former head of currency trading at a multinational investment bank in connection with a DOJ investigation of securities fraud. Successfully advised our client in connection with a DOJ request for extradition from the UK after an eight-month litigation in the UK high court.
  • Represented a senior residential mortgage-backed securities trader at a multinational investment bank in an unprecedented civil action under FINRA in the U.S. District Court for the Eastern District of New York.
  • Obtained a successful result for a fixed income trader at a multinational bank in connection with a CFTC enforcement investigation.
  • Represented a well-known broker-dealer as lead counsel in FINRA enforcement investigation regarding allegations of trading unregistered securities without appropriate AML compliance. Negotiated a favorable settlement with FINRA.
  • Represented an executive in connection with an industry-wide investigation by the DOJ and the SEC into alleged misconduct in the municipal bond industry, including charges of price-fixing, bid rigging, wire fraud, and false statements.