- Representation of a multinational corporation in connection with a DOJ investigation into “no-poach” agreements.
- Representation of a European bank in connection with an industry-wide investigation into alleged manipulation of the precious metals market, the London Interbank Offered Rate (LIBOR) and the Euro Interbank Offered Rate (EURIBOR).
- Representation of a European bank in connection with a consolidated class action alleging violations of the Sherman Act and the Commodity Exchange Act based on alleged collusion and manipulation of ISDAFIX.
- Representation of a generic pharmaceutical manufacturer in connection with federal and state investigations of alleged price fixing and market allocation.
- After the team made a comprehensive pre-indictment presentation to the DOJ’s Antitrust Division, the DOJ agreed to withdraw a target letter and close its multi-year investigation into alleged price fixing by our client. Separately, an internal investigation by the team and the team's assistance with a presentation to a federal agency eliminated the possibility that fraud charges would be brought against our client based on its contractual services for the agency, and led to the successful renegotiation of the payment terms of the relevant contract.
- Representation of a financial advisor and several bankers in connection with a U.S. Department of Justice and SEC investigation into alleged municipal bond bid-rigging in violation of the federal antitrust laws.
- Representation of a senior executive at an international airline in connection with a criminal antitrust investigation by the U.S. Department of Justice into alleged price-fixing related to fuel surcharges.
- Representation of a leading financial and business information provider in connection with allegations of corporate espionage and alleged violations of the federal antitrust laws, the Racketeer Influenced and Corrupt Organizations Act, and other state and federal laws.
- Defense of not-for-profit foundation in connection with civil asset forfeiture proceedings through which the U.S. Department of Justice seeks to forfeit assets valued at more than $800 million.
- Representation of a Swiss trust company in connection with civil asset forfeiture proceedings brought by the U.S. Department of Justice to forfeit hundreds of millions of dollars’ worth of U.S.-based properties allegedly purchased using funds stolen from a sovereign wealth fund.
- Advise a limited liability company in connection with potential forfeiture proceedings brought against members’ interests in the company.
False Claims Act (FCA)
- Representation of a medical device manufacturer in connection with a joint criminal and civil investigation by the US DOJ into alleged violations of the Food, Drug, and Cosmetic Act and successful defense of client in subsequent qui tam action brought under the False Claims Act.
- Defense of a health care company in three related FCA actions in different jurisdictions; the relevant courts dismissed the actions and one court awarded attorney’s fees.
- Defense of a pharmaceutical manufacturer against FCA claims brought by the Department of Justice alleging anti-kickback statute violations; the case resulted in a favorable settlement for the client.
- Defense of a pharmaceutical manufacturer in an FCA case involving allegations of off-label promotion; the district court dismissed all claims and the decision was affirmed on appeal.
- Representation of a medical device manufacturer in connection with an investigation by the US DOJ into allegations of misbranding and adulteration.
- Representation of a university in connection with an FCA investigation by the Department of Justice into whether the university had falsely certified compliance with certain terms of federal grants.
- Representation of tax-exempt organization in connection with an FCA investigation by the Department of Justice relating to alleged dealings with specially designated nationals.
- Representation of a prepaid gift card manufacturer in connection with an action brought under the Delaware False Claims and Reporting Act alleging a violation of the Delaware Unclaimed Property Act.
Foreign Corrupt Practices Act (FCPA)
- FCPA investigation on behalf of a U.S.-based educational institution with operations in the Middle East regarding potential facilitation payments by third party contractors to foreign officials.
- Representation of the chief executive officer of a telecommunications company in connection with alleged violations of the FCPA.
- Representation of a senior executive of an international retail chain in an investigation by the U.S. Department of Justice and Securities and Exchange Commission of alleged FCPA violations in Mexico and related derivative and shareholder actions.
- Advise to nonprofit organizations on drafting policies relating to dealings with foreign government officials.
Independent Monitor / Compliance Consulting
- Appointed to serve as independent monitor for the Newark Police Department (NPD), responsible for overseeing the NPD's compliance with a Consent Decree issued by the U.S. Department of Justice.
- Pursuant to SEC decree, appointed as the Independent Compliance Consultant to two major mutual fund advisers.
- Internal investigation on behalf of a professional sports league of allegations that a player gambled on league games and “fixed” games in which he played. The investigation included review and analysis of sports betting data, social media, public data, and court filings, as well as in-person and virtual interviews. The investigation found no evidence supporting the allegations and closed the matter.
- Multiple internal investigations into allegations of health care fraud, violations of the Anti-Kickback Statute, FCPA violations, and off-label marketing of pharmaceuticals and medical devices.
- Investigations on behalf of professional sports league regarding allegations that member clubs and/or players violated league rules or the terms of the league’s collective bargaining agreement.
- Investigation on behalf of an international media company in connection with alleged improprieties in its performance and billing of a U.S. government contract to provide services.
- Investigation on behalf of a foreign private equity firm regarding accusations that a principal was engaged in unlawful practices using the firm's facilities.
- Investigation on behalf of large public company into whether a subsidiary and its officer facilitated insider trading in violation of the securities laws.
- Investigation on behalf of a national law firm regarding alleged bias in the representation of a committee.
- Representation of individuals in internal investigations conducted by financial institutions into securities fraud.
SEC Investigations / Securities Fraud
- Representation of a broker-dealer and investment advisor firm in connection with an SEC investigation into alleged trading improprieties.
- Representation of an alternative energy company in connection with recovering restitution against a former section 16 officer convicted of securities fraud.
- Representation of an investment advisor and brokerage firm in connection with an investigation by the SEC into alleged securities fraud and violations of Rule 144 of the Securities Act of 1933.
- Representation of officers and managers of a major auto parts supplier under investigation by the U.S. Department of Justice and SEC for alleged securities fraud.
- Representation of an executive of a multinational shipping company involved in petroleum refining and trading in connection with an investigation into false financial filings and alleged accounting fraud.
- Defense of a hedge fund trader charged by the U.S. Department of Justice and Securities & Exchange Commission of mismarking securities held in the fund’s portfolio and inflating value of the securities.
State Attorneys General
- Representation of major pharmaceutical companies in Attorneys General investigations and suits brought under state consumer fraud statutes.
- Representation of an insurance brokerage firm in connection with U.S. Department of Justice and New York Attorney General’s investigation of contingent commissions and other compensation received from insurance carriers.
- Representation of the administrator of certified home health agency in connection with a New York Attorney General investigation of alleged Medicaid fraud.
- Representation of an Internet ticket company in connection with an Attorney General’s consumer fraud suit.
Other Government Investigations
- Representation of a hedge fund portfolio manager in connection with a U.S. Department of Justice investigation into alleged insider trading.
- Representation of an executive and several affiliated entities in connection with an investigation by the New York County District Attorney’s Office into alleged financial improprieties.
- Representation of investment bankers in connection with a U.S. Department of Justice and SEC investigation into the municipal bond industry.
- Representation of small business in connection with investigations into alleged sales tax violations.
- Representation of executive arising out of public corruption investigation in New York State.
Other Representative Matters
- Representation of directors and officers named as defendants in multiple shareholder derivative actions arising from allegations of misconduct as a major pharmaceutical company.
- Defense of an American architect facing federal charges of wire fraud and conspiracy and in connection with extradition proceedings brought on behalf of a foreign government.
- Represented executives of major pharmaceutical company under investigation for "channel stuffing" and improper handling of accounting reserves.
- Represented nonprofit foundation in connection with congressional subpoenas