In today's highly scrutinized corporate environment, in house counsel may be struck without warning with a maze of issues that arise out of government investigations or enforcement proceedings. Kelley Drye's White Collar Crime and Investigations attorneys successfully advise and defend corporations and individuals
facing criminal charges, as well as civil and administrative claims, quickly, comprehensively and discreetly. With the strength of experience as former Assistant U.S. Attorneys, a former federal public defender, a former senior official in the Department of Justice, and years of combined experience in both the public
and private legal sectors, Kelley Drye is ready and able to deliver the favorable results that our clients expect.
Leveraging the considerable resources of our firm's litigation, bankruptcy, tax, corporate, environmental, government relations and insurance practices, our White Collar Crime and Investigations attorneys handle both internal investigations and governmental investigations, and have substantial jury trial experience.
We have handled matters involving:
- Securities fraud and insider trading
- Healthcare fraud
- Government contracting and procurement fraud
- Foreign Corrupt Practices Act (FCPA)
- Civil qui tam False Claims Act
- Accounting fraud
- Criminal antitrust
- Tax fraud
- Congressional investigations
- Lobbying, ethics and campaign finance violations
- Environmental crimes
- Customs and export controls violations
- Public corruption
Responding effectively to investigations requires proper guidance from experienced lawyers from both sides of the table and who can anticipate the government's next move.
Aligning our approach with each client's legal and business objectives, we are meticulous in our investigation and analysis and dedicated to obtaining a favorable resolution.
Kelley Drye's individualized approach to crafting defense or investigative strategies is grounded in our many years of successfully representing Fortune 500 senior business executives, corporate entities, trade associations, universities, professionals
organizations, political action committees, public and privately-held corporations, members of Congress, and state elected officials.
Kelley Drye has a long and successful record of managing large, complex internal investigations on behalf of organizations. Our compliance practitioners understand the changing elements of regulatory agencies' requirements for financial, management
and operational reporting and internal controls, so that our clients benefit from prompt and efficient legal services without our having to adjust to a learning curve. Moreover, we are familiar with the enforcement agencies and their role in investigations, such
as the FBI, ICE, BIS, SEC and others. We work closely with our Government Relations attorneys in developing and implementing the defense strategies most appropriate for our clients facing congressional investigations.
Although avoiding litigation is our initial objective, we aggressively tackle trial work on behalf of our clients when necessary. When cases go to trial, we have the resources and the experience to obtain favorable resolutions for our clients. In addition to numerous
trials in federal and state courts in a wide number of jurisdictions, Kelley Drye's experienced trial lawyers have represented clients before such regulatory and compliance agencies as the NASD, NYSE, SEC, FEC, FTC, EPA, FDA and other regulatory bodies. Nothing can
take the place of experience in the courtroom for an effective defense, and our firm delivers consistent results to our clients. For more information please click here.
Clients want to avoid litigation and investigations whenever possible. The best way to do that is to ensure that financial, management and operational reporting mechanisms are compliant with federal and regulatory requirements. Kelley Drye understands what works and
what doesn't and can advise our clients on ways to design, implement and maintain proper compliance programs to ward off potential problems. We aim to mitigate any criminal liability within these reporting systems so that our clients' compliance
programs satisfy federal guidelines. Such issues may include document retention, ethics programs, reporting violations processes. Kelley Drye works closely with our clients to develop systems that will deter and detect errant corporate behavior.
For a full listing of the White Collar Crime and Investigations’ representative matters, please click here.
- Represented Martin Tankleff, who had spent 17 years in prison after being convicted for double homicide in the 1988 beating and stabbing deaths of his parents. Mr. Pollack led the successful effort to overturn his convictions based on newly discovered evidence. Mr. Tankleff was released from prison after a state appellate court reversed the convictions and the charges were dropped by the Suffolk County District Attorney, citing the new evidence presented by Mr. Pollack that pointed to other suspects.
- Represented a former accountant with Enron Corporation's broadband unit in jury trials in federal court in Houston. Among all the former Enron executives who were prosecuted, our client was one of only two who were acquitted.
- 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 ten week trial.
- Represent a European-based global oil trading corporation in criminal prosecution related to the U.N. "Oil-for-Food" program. The client entered into a favorable plea agreement.
- Represented healthcare company sales executive in federal prosecution in Southern Illinois of alleged payment of kickbacks to medical equipment distribution company. Judge granted motion for judgment of acquittal at conclusion of government's case in chief.
- Represent the chairman of the compensation committee of a publicly traded company in an investigation by the SEC and DOJ into stock options backdating.
- Represent officers and directors of AIG, Bank of America, JPMorgan Chase, Citibank, Computer Associates, Global Crossing, Merrill Lynch, and Nortel in investigations involving allegations of accounting irregularities.
- Represented a former senior officer of Bankers Trust/Deutsche Bank in connection with the DOJ investigation into tax shelters.
- Represented brokers at various firms in connection with Eastern District of New York “squawk box” prosecutions.
- Represented an official of the Department of State’s Office of the Inspector General in connection with allegations that the Inspector General impeded congressional and DOJ investigations regarding a contractor fraud in Iraq.
- Represented a member of Congress in an Ethics Committee investigation related to the House Page program.
- Represented an attorney in a House investigation into alleged improper tactics in class action suits.
- Representing a former senior executive at a Fortune 500 financial institution in an SEC investigation arising out of allegations of accounting improprieties. We successfully persuaded the SEC Staff, via a Wells submission, not to proceed with an enforcement action against our client.
- Representing a publicly traded company in an SEC investigation of the United Nations Oil-for-Food program.
- Represented Halliburton executives in a Foreign Corrupt Practices Act investigation.
- Represented a former executive of a Fortune 500 company in an SEC enforcement investigation of insider trading.
- Represented a senior business executive in connection with the SEC/DOJ investigation involving mutual fund market-timing.
- Conducted an internal investigation on behalf of the Special Committee of the Board of Directors of a large professional membership organization facing allegations of fraud and mismanagement involving its political action committee. We are currently defending the association and certain of its officers in connection with allegations by Federal Election Commission. We are also assisting with employment law-related issues stemming from the internal investigation.
- Conducted an internal investigation of accounting fraud for the audit committee of the Board of Directors of a publicly traded financial services company which later settled favorably with the SEC.
- 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 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.
For further information about Kelley Drye's White Collar Crime and Investigations Practice Group, please contact:
Julian Solotorovsky
(312) 857-7083
jsolotorovsky@kelleydrye.com
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