White Collar Crime and Investigations
White Collar Crime and Investigations

Experience counts, when clients need it the most.

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 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 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 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 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.  As a result, the firm’s reputation and experience have led individuals and corporations to 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
  • Served as lead trial counsel for an in-store promotion company in action against a dominant competitor in the in-store advertising industry alleging violations of federal and state antitrust and unfair competition laws.  Three days into the jury trial in the District of Minnesota, the case settled for payment of $125 million to our client and a business deal granting them a 10-year exclusive right to market its product in a national retail network.

  • 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.

  • Represented executive of company in antitrust Grand Jury investigation of pigments-for-dyes industry, which resulted in a decision not to prosecute.

  • 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.

  • 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 that 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 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.

  • 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 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.

  • 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.
 
 

Overview

Experience counts, when clients need it the most.

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 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 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 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 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.  As a result, the firm’s reputation and experience have led individuals and corporations to 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

  • Served as lead trial counsel for an in-store promotion company in action against a dominant competitor in the in-store advertising industry alleging violations of federal and state antitrust and unfair competition laws.  Three days into the jury trial in the District of Minnesota, the case settled for payment of $125 million to our client and a business deal granting them a 10-year exclusive right to market its product in a national retail network.

  • 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.

  • Represented executive of company in antitrust Grand Jury investigation of pigments-for-dyes industry, which resulted in a decision not to prosecute.

  • 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.

  • 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 that 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 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.

  • 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 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.

  • 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.

People

Honors

Partner
Email (212) 808-7756(212) 808-7756
Richard Donovan is a partner in the firm's New York office. He focuses his practice on antitrust and competition issues (regulatory, litigation and criminal), internal investigations and comme...
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 negotiat...
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 ...
Partner
Email (212) 808-5082(212) 808-5082
Michael Lynch is chair of the firm’s Litigation practice.  Michael has extensive trial experience, both from his days as a prosecutor in New York City under the legendary Robert Morgent...
Partner
Email (202) 342-8811(202) 342-8811
Bill MacLeod chairs the firm’s Antitrust and Competition practice group.  A former bureau director at the U.S. Federal Trade Commission (FTC), Bill offers his clients decades of experie...
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) 808-7720(212) 808-7720
Sarah Reid has handled a wide range of commercial litigation for major U.S. and international companies involving contract, securities, False Claims Act, business torts, environmental and intellec...
Partner
Email (312) 857-7083(312) 857-7083
Julian Solotorovsky chairs the firm’s White Collar Crime and Investigations practice group.  His practice is focused on litigation, including white collar crime, internal investigations...
Senior Associate
Email (202) 342-8422(202) 342-8422
Bezalel Stern is a senior associate in the firm’s Washington D.C. office. His practice focuses on commercial litigation, including litigation regarding real estate and employment matters, en...
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 ...