White Collar, Investigations and Compliance
White Collar, Investigations and Compliance
Experience counts, when clients need it the most.

When investigations result in indictments, enforcement actions or lawsuits, clients turn to Kelley Drye to provide strategic defense counsel and rely on our successful record of accomplishment of winning acquittals in a number of criminal trials.  We have achieved great results for clients in successfully resolving matters skillfully, without prosecution, litigation or publicity.

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, Investigations and Compliance 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.

Anticipating the government’s next move and responding effectively to investigations require 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 decades of successfully representing multinational 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.

Delivering Favorable Results at Trial

We aggressively tackle trial work on behalf of our clients, when necessary.  When cases go to trial, we have the resources and the proficiency 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 courtroom-tested trial lawyers represent 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 Focused on Client Objectives

Kelley Drye lawyers successfully manage 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 ongoing 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.  Based on our solid reputation, individuals and corporations trust us to obtain the best results for their most challenging internal issues.

Kelley Drye provides clients with comprehensive legal advice on anti-money laundering (AML) rules and regulations, including compliance counseling and enforcement contexts. AML requirements, counterterrorist financing regimes, know-your-customer (KYC) rules, and asset blocking and reporting requirements continue to be increasingly complicated and sophisticated.  Kelley Drye’s AML attorneys are well prepared to handle and solve enforcement problems, provide evaluations of your company’s existing AML policies and procedures, and to provide hands-on guidance to your company for creating and implementing new programs, incorporating best practices that meet with regulatory approval.

Strategic Approach to Managing Parallel Proceedings

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.

We assist clients in both criminal and civil investigations and related proceedings in such matters as:

  • Anti-Money Laundering

  • Antitrust

  • Customs and export controls violations

  • Environmental crimes

  • Securities fraud and insider trading

  • Foreign Corrupt Practices Act

  • Government contracting and procurement fraud

  • Healthcare fraud

  • Qui tam False Claims Act

  • Public corruption

White Collar

  • 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 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.

  • Represented a foreign currency trader in a Department of Justice (DOJ) criminal investigation of possible antitrust fraud and violations relating to fixing currency trade prices, which resulted in decisions not to prosecute.

  • Representing the owner of an heir location services company in a criminal antitrust investigation by the DOJ regarding price fixing.

  • Representing SUNY in the Department of Justice’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.

  • 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.
 

Investigations

  • Conducted an investigation on behalf of a 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 manufacturer’s domestic and international customers, including customers in South America and Canada.  The matter was successfully resolved without litigation.

  • 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 did self-report 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 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.

  • 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.

  • 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.
 
 

Overview

Experience counts, when clients need it the most.

When investigations result in indictments, enforcement actions or lawsuits, clients turn to Kelley Drye to provide strategic defense counsel and rely on our successful record of accomplishment of winning acquittals in a number of criminal trials.  We have achieved great results for clients in successfully resolving matters skillfully, without prosecution, litigation or publicity.

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, Investigations and Compliance 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.

Anticipating the government’s next move and responding effectively to investigations require 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 decades of successfully representing multinational 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.

Delivering Favorable Results at Trial

We aggressively tackle trial work on behalf of our clients, when necessary.  When cases go to trial, we have the resources and the proficiency 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 courtroom-tested trial lawyers represent 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 Focused on Client Objectives

Kelley Drye lawyers successfully manage 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 ongoing 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.  Based on our solid reputation, individuals and corporations trust us to obtain the best results for their most challenging internal issues.

Kelley Drye provides clients with comprehensive legal advice on anti-money laundering (AML) rules and regulations, including compliance counseling and enforcement contexts. AML requirements, counterterrorist financing regimes, know-your-customer (KYC) rules, and asset blocking and reporting requirements continue to be increasingly complicated and sophisticated.  Kelley Drye’s AML attorneys are well prepared to handle and solve enforcement problems, provide evaluations of your company’s existing AML policies and procedures, and to provide hands-on guidance to your company for creating and implementing new programs, incorporating best practices that meet with regulatory approval.

Strategic Approach to Managing Parallel Proceedings

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.

We assist clients in both criminal and civil investigations and related proceedings in such matters as:

  • Anti-Money Laundering

  • Antitrust

  • Customs and export controls violations

  • Environmental crimes

  • Securities fraud and insider trading

  • Foreign Corrupt Practices Act

  • Government contracting and procurement fraud

  • Healthcare fraud

  • Qui tam False Claims Act

  • Public corruption

Experience

White Collar

  • 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 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.

  • Represented a foreign currency trader in a Department of Justice (DOJ) criminal investigation of possible antitrust fraud and violations relating to fixing currency trade prices, which resulted in decisions not to prosecute.

  • Representing the owner of an heir location services company in a criminal antitrust investigation by the DOJ regarding price fixing.

  • Representing SUNY in the Department of Justice’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.

  • 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.
 

Investigations

  • Conducted an investigation on behalf of a 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 manufacturer’s domestic and international customers, including customers in South America and Canada.  The matter was successfully resolved without litigation.

  • 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 did self-report 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 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.

  • 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.

  • 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.
Partner
Email (312) 857-7083(312) 857-7083
Julian Solotorovsky chairs the firm’s White Collar, Investigations and Compliance practice group.  His practice is focused on litigation, including white collar crime, internal inv...
Partner
Email (212) 808-7771(212) 808-7771
Bill Escobar is one of Kelley Drye’s leading trial lawyers.   Bill defends, prosecutes and resolves serious business disputes for both domestic and international business clients. &nbs...
Partner
Email (202) 342-8479(202) 342-8479
David Evans focuses principally on antitrust and competition law, including mergers and acquisitions, civil litigation, government investigations and counseling.  He has experience in a range...
Partner
Email (202) 342-8648(202) 342-8648
David Frulla practices in the areas of government relations and public policy, campaign finance and political law, litigation and environmental law.  A determined advocate, effective negotiato...
Partner
Email (312) 857-7238(312) 857-7238
Randy Lehner guides his clients through the process of identifying and defending claims of misrepresentation, mismanagement and/or fraud. He conducts internal investigations that determine re...
Partner
Email (312) 857-7084(312) 857-7084
Givonna St. Clair Long focuses her practice on complex business litigation, labor and employment litigation, commercial and consumer litigation, class action defense and regulatory investigations....
Partner
Email (312) 857-2623(312) 857-2623
Matthew Luzadder focuses his practice on white-collar crime and internal investigations, commercial litigation and labor and employment law matters. Matt’s clients include national and g...
Partner
Email (212) 808-5082(212) 808-5082
Michael Lynch is chair of the firm’s Litigation practice and a member of the firm’s Executive Committee.  Michael has extensive trial experience, both from his days as a prosecutor...
Partner
Email (202) 342-8811(202) 342-8811
Bill MacLeod chairs the firm’s Antitrust and Competition practice group.  The Immediate Past Chair of the Antitrust Section of the American Bar Association, Bill is a former bureau...
Partner
Email (203) 351-8039(203) 351-8039
Paul McCurdy chairs the firm’s Broker-Dealer practice group.  Paul represents retail, clearing and direct access broker-dealers, investment banking and advisory firms in regulatory, enf...
Partner
Email (212) 808-7811(212) 808-7811
Neil Merkl is a commercial lawyer, litigator and trial attorney with more than thirty years of experience in contract, commercial law and civil litigation. Neil represents innovative businesses wh...
Partner
Email (212) 808-7695(212) 808-7695
Jaimie Nawaday focuses her practice on government investigations, white collar defense and civil litigation.  She advises and represents organizations and individuals in government investigati...
Partner
Email (512) 391-1737(512) 391-1737
John Riley represents clients in permitting and enforcement matters in the air, water and waste media.  He advises entities in the power generation, hydraulic fracturing, chemical, manufactur...
Partner
Email (512) 391-1727(512) 391-1727
Paul Sarahan represents clients in the energy, chemical, manufacturing, transportation, technology and retail industry sectors on environmental issues.  For more than two decades, Paul has be...
Senior Associate
Email (202) 342-8422(202) 342-8422
Bezalel Stern’s practice focuses on commercial litigation, including litigation regarding complex business disputes, real estate and employment matters, and animal law.  Bezalel also adv...
Associate
Email (312) 857-2507(312) 857-2507
Janine Fletcher is an associate in the firm’s Chicago office. Janine brings a comprehensive background, experience and skill-set having worked in all branches of federal government prior to ...