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 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 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.
When investigations result in enforcement actions, indictments or lawsuits, clients turn to us to provide strategic defense counsel and rely on our successful track record of winning acquittals in a number of criminal trials. Similarly, we have achieved great success in resolving matters skillfully, without prosecution, litigation, or publicity.
Anticipating the government’s next move and responding effectively to investigations requires proper guidance from lawyers with experience from both sides of the table. 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 and safeguarding reputations. 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, professional organizations, political action committees, public and privately-held corporations, members of Congress and state elected officials.
We assist clients in both criminal and civil investigations and related proceedings in such matters as:
- Securities fraud and insider trading
- Healthcare fraud
- Qui tam False Claims Act
- Foreign Corrupt Practices Act
- Government contracting and procurement fraud
- Customs and export controls violations
- Tax and accounting fraud
- Environmental crimes
- Public corruption
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 regulatory and compliance agencies. Nothing can take the place of experience in the courtroom for an effective defense, and our firm delivers consistent results to our clients.
Investigations and Compliance Reviews
Kelley Drye lawyers bring decades of experience to successfully managing large, complex internal investigations on behalf of multinational organizations. We frequently provide regulatory and compliance counseling on business and industry risk long before government actions occur. We provide on-going guidance to our clients’ operations to help them stay current to the changing elements of regulatory agencies’ requirements for financial, management and operational reporting and internal controls. As a result, the firm’s reputation and experience has led individuals and corporations to trust us to obtain the best results for their most challenging internal issues.
Kelley Drye’s White Collar Team has extensive experience counseling clients with the issues involved in parallel criminal, regulatory and civil actions. Our lawyers regularly represent clients in grand jury investigations and defend businesses and individuals in white collar criminal investigations and prosecutions in parallel civil enforcement proceedings and in related third-party proceedings. We consistently achieve positive outcomes by leveraging our knowledge of the law with the vast experience of Kelley Drye’s regulatory and government relations professionals to develop strategies that are critical to our clients’ success.
- 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.
- 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.
- 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.
- Represented a former New York Stock Exchange specialist in an SEC hearing involving allegations of stock fraud relating to trading activity. Resulted in a ruling of no violations of the SEC Securities Act.
- 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 which resulted in recovery of 80% of lost funds.
- 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.
- 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.
- Represented an elected official in Illinois on federal criminal prosecution on charges of extortion and bribery.
- 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 did self-report to the NCAA.
- Represented a broker in SEC fraud investigation relating to sale of Asset Backed Commercial Paper. Filed a Wells response which resulted in a SEC decision to close out the case without seeking any changes.
- 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 a 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.
- 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.
- 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.
- 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.