Government Investigations and Enforcement

Business organizations and their executive managers can, with little warning, find themselves in the unfamiliar and sometimes hostile territory of a government investigation. The notice of an investigation is not always predictable. It may come in the form of a grand jury subpoena or may present with a knock at the door by federal or state law enforcement authorities.

Highly sensitive matters require a disciplined approach and discreet strategic intervention. We have the critical expertise you need to help navigate these most difficult situations and mitigate the impact on professional and personal reputations where the legal and financial implications can be profound.

  • Whether our clients have been contacted by federal or state law enforcement as a potential target or simply as one thought to have information relevant to an investigation, we stand ready to represent your interests every step of the way. We collaborate with a network of forensic accountants, skilled investigators, and subject matter experts. Our lawyers know where to look, what questions to ask, and then how to process the information and develop an effective plan to solve each problem.

    We also have considerable experience representing individuals and companies in those instances where investigations result in government regulatory enforcement actions. Such matters may be initiated by a full spectrum of government agencies, including the SEC, CMS, HHS-OIG, EPA, and parallel state enforcement agencies. We understand that the results of these actions can have a profound impact on the professional futures of our individual clients and the ability of our corporate clients to continue to do business. Accordingly, we employ a pragmatic approach while vigorously defending all claims.

Representative Engagements

  • Representation of regional hospice provider in response to CMS Audit, conduct of internal investigation of misconduct inpatient admissions and record-keeping, litigation of claim for recoupment, and preparation of self-disclosure of potential violations of the False Claims Act to the U.S. Department of Justice.

  • Representation of former owners of a privately held company under investigation by the SEC for alleged misstatements and fraud in the sale of company to a publicly traded entity.

  • Representation of chair of charitable organization in response to investigation by state attorney general into allegations of criminal and civil fraud in relation to expenditures and use of the organization’s assets.  

  • Representation of healthcare / hospital consulting company in response to DOJ investigation of allegations of violations of the False Claims Act and Stark Law, for their operation of community hospital system. 

  • Representation of publicly traded bank holding company and national bank regarding widespread irregularities in lending operations, including conduct of comprehensive internal investigation, response to investigation by the Office of the Comptroller of the Currency (OCC), participation in OCC administrative litigation, coordination with the FBI and state law enforcement authorities, defense of shareholder lawsuit, preparation of a fidelity bond claim, and prosecution of a civil fraud and RICO lawsuit. 

  • Representation of corporate executive in response to SEC investigation of alleged conflicts of interest in suspected related party transaction with public company board member.

  • Conducted rapid response to execution of a search warrant at the global headquarters of publicly traded company, including immediate on-site negotiation with DOJ attorneys and FBI agents regarding scope and timing of the search

  • Representation of publicly traded consumer finance company in response to SEC investigation into alleged with respect to alleged irregularities in accounting, loss reserves, and disclosures to the SEC, including representation of company officials at depositions, and negotiations with the SEC Enforcement Division.

  • Representation of company COO in response to investigation by FBI and DHS into allegations of immigration fraud in the granting of work visas.

  • Representation of energy services company in relation to operation of a landfill that accepted drilling waste from fracking operations, including negotiation of an assessment of penalties by the Pennsylvania DEP, and addressing objections to renewal of the DEP permit by the local municipality.

  • Representation of major university as potentially responsible party (PRP) in action by Pennsylvania DEP under the Pennsylvania Hazardous Sites Clean-Up Act regarding response and remediation costs for municipal landfill.

  • Representation of a fuel oil hauling company in parallel enforcement actions by the Pennsylvania DEP and Fish and Boat Commission for violations of Pennsylvania Clean Streams Law arising out of a fuel spill into a major waterway. 

Practice Areas