White Collar Defense & Investigations

Overview

“The firm houses a strong team recommended for their expertise in handling a broad range of complex investigations and proceedings.”

— Chambers USA, 2024

Businesses and individuals are subject to increased scrutiny by government and regulatory agencies. Issues can arise in the normal course of operations that lead to fraud and abuse allegations and require experienced counsel who understand the implications and can seek resolutions consistent with clients’ business objectives.

Our white collar defense practice is recognized by Chambers USA as a Band 1 firm for White-Collar Crime & Government Investigations in New York, the highest ranking in Chambers. The practice is highly regarded in the very competitive New York market. Overall, the practice group has broad experience advising companies, boards of directors, senior executives, and individuals facing criminal investigations, government investigations, congressional inquiries, whistleblower accusations, or self-discovered misconduct. We know the best defense for our clients requires skilled investigative tactics, top-notch litigation skills, savvy media relations, and effective negotiating strategies to mitigate reputational damage.

Our litigation team includes 18 former federal and state prosecutors and former U.S. Department of Justice (“DOJ”) attorneys, former state and federal judges, including a number of U.S. District Court judges, and former appellate judges from the U.S. Court of Appeals.

Our white collar defense and investigations team also helps our corporate clients design and implement effective corporate compliance programs. As part of the design process, we frequently conduct internal investigations, compliance checks, and internal-controls reviews and audits carefully tailored to your business and industry.

How We Can Help

Bank, mortgage, and other financial institution fraud
Securities and accounting fraud
Government contracts fraud
Healthcare fraud
Mail and wire fraud
Antitrust
Anti-bribery and anti-corruption, including the Foreign Corrupt Practices Act
Political corruption
Tax controversies
Anti-money laundering
Data privacy and cyber crimes
Theft of trade secrets
Civil and criminal forfeiture
Organized crime and RICO
Environmental violations

We assist our clients in all stages of criminal and administrative enforcement proceedings, including:

Grand jury investigations and subpoenas
U.S. federal and state trials
Criminal appeals
U.S. congressional oversight hearings and investigations
State and federal regulatory agency investigations enforcement actions
Whistleblower internal investigations
Parallel proceedings

Internal Investigations

We’ve conducted hundreds of internal investigations for both public and private companies and are recognized for our ability to handle these matters with impartiality, credibility, efficiency, and discretion. We’re surgical in strategy and scope, keeping investigations focused, ensuring minimal disruption to business operations, while being both cost and time efficient.

We counsel boards of directors and special committees as independent advisers involving a wide array of corporate compliance and governance issues related to the Sarbanes-Oxley Act, Dodd Frank Act, Sherman Antitrust Act, False Claims Act, SEC regulations, and Foreign Corrupt Practices Act (“FCPA”).

Anti-Bribery and Anti-Corruption, including Foreign Corrupt Practices Act (“FCPA”)

We handle highly sensitive FCPA investigations in Europe, Asia, South America, Africa, and the Middle East, and defend corporations and senior executives before the DOJ and the SEC. We have decades of collective experience conducting FCPA grand jury and internal investigations; reviewing gift and hospitality proposals to government officials; handling due diligence for third-party agents and consultants, including sales representatives and distributors outside the United States; and assessing potential joint ventures.

We also assist our clients in negotiating and discharging foreign offset requirements, such as compliance with the Feingold Amendment and U.S. embargo and trade matters, including OFAC regulations and ITAR. We handle both compliance and enforcement issues.

Tax and Money Laundering

Our group defends financial institutions in Bank Secrecy Act/AML compliance actions, including money laundering, asset forfeiture, and economic sanctions compliance issues. We advise our clients in civil tax litigation in tax courts, district courts, and claims courts, including defending accountants in criminal tax investigations, and accountants and attorneys in tax malpractice litigation.

To avoid potential exposure under the DOJ’s offshore tax enforcement programs, we have an offshore tax compliance team with significant experience advising foreign financial institutions and individuals as to their obligations under U.S. tax law and resolving potential risks.

Government Contracts and Procurement Fraud

Our White Collar team, in collaboration with the firm’s premier Government Contracts practice, represents government contractors and executives in criminal, civil, regulatory, administrative, and investigative matters relating to government contracting, procurement and disbarment proceedings, including defending contractors and executives in criminal matters and civil False Claims Act (including qui tam) investigations and lawsuits. We also offer experienced counsel to those undergoing government audits by various entities, including the Offices of the Inspector General for Defense Department and other federal agencies, the Government Accountability Office, the Defense Contract Management Agency, and the Defense Contract Audit Agency, as well as their state government counterparts.

Environmental Crimes

Our team has extensive experience in environmental matters, including violations of the Clean Air Act, Clean Water Act, and other environmental criminal statutes before federal, state, and local regulatory agencies. We’re part of the firm’s Maritime Emergency Response Team handling U.S. Coast Guard investigations of vessel owners and managers for environmental violations and casualties from marine pollution. We provide compliance counseling, and defend refineries, chemical facilities, and manufacturers in administrative, civil, and criminal enforcement actions at the federal and state levels. We’re proactive, frequently guiding clients to civil and administrative dispositions before they become the subject of criminal investigations.

Healthcare

Our team assists healthcare providers and companies in criminal, civil, regulatory, administrative, and investigative matters, including defending them in criminal and civil False Claims Act (including qui tam) investigations and lawsuits. We counsel those undergoing government audits by various entities, including the DOJ, Office of the Inspector General, Medicare Recovery Audit Contractor, Zone Program Integrity Contractor, and Medicare Administrative Contractor.

We represent providers and companies in Medicare and Medicaid exclusion and administrative cases, and counsel clients facing allegations of off-label marketing, kickbacks, Controlled Substances Act violations, and Stark Law violations. Moreover, we defend providers in professional licensing matters and cases of alleged healthcare fraud and abuse, and in HIPAA audits brought by the Office of Civil Rights.

Criminal Antitrust and Government Investigations

Businesses today face a growing challenge in navigating federal, state, and international antitrust and competition laws, and the stakes are very high. Blank Rome’s white collar practice includes attorneys who have worked at the United States Department of Justice (“DOJ”) and offices of several state attorneys general. Our team assists clients during all phases of antitrust-related internal investigations, criminal investigations, grand jury matters, trials, sentencing, and appeals. We work daily with corporations and individuals confronted with allegations of price fixing, bid rigging, market allocation, monopoly, and other anticompetitive conduct, and we represent them before various government agencies, including the DOJ Antitrust Division, the Securities and Exchange Commission (“SEC”), and the Federal Trade Commission (“FTC”), regarding alleged violations of the Sherman and Clayton antitrust acts and Section 5 of the FTC Act. We have handled criminal antitrust cases for corporations and individuals in many industries, including shipping, chemicals, film production, electronics, automobiles, insurance, pharmaceuticals, and food services. To learn more about our antitrust capabilities, please click here.

Political Corruption

We represent individuals throughout the United States in high-profile, multi-defendant federal public corruption cases alleging honest-services fraud, bribery, conspiracy, and related tax charges.

Securities Fraud

We defend companies, directors, and officers regarding claims of securities fraud under various federal and state laws, as well as claims under RICO. Moreover, we defend clients in criminal and regulatory proceedings involving alleged insider trading, front running, and other securities fraud matters. We frequently help defend companion civil lawsuits for state statutory or common law business tort claims against officers and directors for breaches of fiduciary duties, fraud, mismanagement, negligence, and waste of corporate assets. Should a parallel enforcement action arise before the SEC and FINRA, we’ll take that on as well. Our goal is to help our clients address, limit, or avoid the huge financial exposure, time commitment, and operational distractions these proceedings generate.

Congressional Oversight and Investigations

We guide individuals through the politically charged congressional investigation. Our oversight and investigations team includes individuals who have held high-level positions with both Senate and House investigative committees, and have personally conducted congressional investigations and managed congressional oversight hearings.

We develop overall strategies for our clients responding to congressional investigations, including responses to large-scale document requests, requests for information, and preparation of senior executives for interviews by House and Senate Committees, as well as hearing testimony.