White Collar Criminal Defense Leaders
Compliance
Professionals
White Collar Criminal Defense Areas of Practice
White Collar Criminal Defense Related Sectors & Services

Compliance

Clark Hill’s attorneys actively partner with clients to ensure the effectiveness of corporate compliance programs, which are more vital today than ever. Overwhelming government regulation, aggressive enforcement action, and the complexities of doing business in today’s global marketplace demand high ethical standards and adherence to strict compliance programs. Companies need to adopt a proactive approach toward compliance and the promotion of a culture that encourages ethical conduct and a commitment to compliance, as well as programs designed to identify and mitigate risks.

Our attorneys, who speak and publish regularly on the topic of compliance, have the depth of knowledge and experience to assess the company’s compliance programs, design any necessary modifications, provide requisite training in all areas of operations, and otherwise help meet all compliance goals. We are one of the few law firms with experience serving as an independent corporate monitor appointed by the government to oversee the establishment of a multi-faceted compliance program for a publicly traded corporation.

Experience

Facilitated and ensured City cooperation with federal investigations, including for U.S. v. Sorich and U.S. v. Sanchez Shakman/patronage cases and Operation Crooked Code bribery cases

Oversaw major employee qualification audit arising out of municipal patronage hiring.

Assisted several individuals seeking presidential pardons.

Represented an international corporation in a U.S. Customs and Border Protection investigation and enforcement proceeding concerning classification and valuation of imported products, and a U.S. Customs and Border Protection investigation concerning NAFTA compliance issues. 

Represented an individual seeking a Rule 35 sentence reduction. 

Represented a not-for-profit corporation that provides auditing and accreditation to media ratings services in matters relating to ongoing Congressional inquiries relating to rating services. 

Represented a large, northwest utility company in multiple FERC investigations concerning allegations of energy price manipulation relating to Enron. 

Served as counsel to the Audit Committee of a publicly-traded insurance company and conducted several investigations on behalf of the Audit Committee. 

Represented an individual in SEC v. Concorde America, et al., (SD Fla.), as well as in a parallel grand jury investigation being conducted in the Western District of North Carolina. Negotiated settlement with SEC and plea agreement with U.S. Attorney. 

Represented a high-ranking official of an International Union in a grand jury investigation concerning alleged union corruption and related criminal statutes. 

Represented a national corporation in grand jury investigation of alleged violations of the Export Control Act. 

Represented a top claims management services corporation in a federal grand jury investigation of alleged public corruption. 

Represented a Chinese corporation in a parallel criminal and civil investigation by Department of Justice and Department of Commerce concerning alleged violations of the International Emergency Economic Powers Act (IEEPA) and Export Administration Regulations. 

Represented a Mexican national in a FCPA investigation. 

Represented an international corporation in a matter relating illegal payments to union officials, including conducting an internal investigation for the client, and self-reporting to the Department of Justice. 

Represented a national corporation and certain officers in a criminal export control Act investigation. 

Represented a top four U.S. insurance company in a federal grand jury public corruption investigation. 

State of New York v. Miguel Diaz, Conducted grand jury corruption investigation of Community School Boards in Bronx County resulting in Mr. Diaz’s conviction for bribery and attempted larceny for demanding payments from individuals seeking promotions. In addition to Mr. Diaz, three other school board members were convicted of larceny, bribery, and defrauding the government. 

Served as counsel to board of directors of regional financial institution and conducted an internal investigation concerning mortgage valuations. 

Conducted internal investigation for management of major regional financial institution regarding allegations relating to mortgage broker payments and related issues. 

Represented former WorldCom director and Chairman of the Compensation Committee throughout investigations by the DOJ and SEC, as well as in internal investigations. 

Represented the President and officers of an Investment Company in parallel grand jury and SEC civil investigations. 

Represented an accountant and his firm in a grand jury investigation of U.S. Congressman. 

Represented two partners and their law firm in investigations by the Department of Justice and Railroad Retirement Board. 

SEC v. Bluestone, et al., Civil enforcement action brought against five partners of a Detroit, Michigan law firm for insider trading. The defendants sold shares in Zenith Laboratories, Inc., based on non-public information obtained from one of their law partners who was a member of the Zenith Board of Directors. 

Wedtech Corruption Investigation, Public corruption investigation of the Wedtech Corporation that resulted in the convictions of more than 30 individuals. Member of the prosecution trial team in the trial of United States v. Biaggi, et al., (S.D.N.Y.). The trial resulted in the conviction of Congressman Mario Biaggi, Bronx Borough President Stanley Simon, SBA Regional Administrator Peter J. Neglia, National Guard General Bernard Erlich, and Richard Biaggi, for RICO, RICO conspiracy, extortion, mail fraud, tax evasion, and perjury. 

United States v. DeFries, et al., the first successful criminal RICO prosecution of the governing body of a labor organization, which resulted in the conviction of 18 officials of the Marine Engineers Beneficial Association (MEBA), for RICO, RICO conspiracy, embezzlement, extortion, and mail fraud. 

United States v. Pirollo, et al., investigation and prosecution of 23 defendants for narcotics trafficking, participating in a continuing criminal enterprise and related charges in a large-scale methamphetamine manufacturing and distribution organization. 

United States v. Bessant, et. al., investigation of four individuals concerning the valueless off-shore reinsurance companies used by the defendants in Teale, to assume reinsurance risk in exchange; these individuals received a percentage of the premiums earned knowing that the off-shore companies would not have the financial resources to pay claims. Among the individuals convicted were Dallas Bessant (RICO Conspiracy), Jerry Tidmore (RICO Conspiracy), Robert Campbell (RICO Conspiracy), and Matthew Bonar (wire fraud). 

United States v. Rennert, et al., investigation of a complex market manipulation scheme between a stock rental firm and numerous off-shore reinsurance companies that had booked manipulated stock on their financial statements resulting in the conviction of seven defendants for conspiracy, securities, and wire fraud

United States v. Teale, et al., RICO investigation and prosecution of two defendants for operating an international fraudulent network of reinsurance companies and related insurance service companies. Defendants diverted millions in reinsurance premiums through sham contracts concealing the diversion by obtaining falsely inflated securities that were used as collateral for reinsurance contracts. 

United States v. Hvide Marine and United States v. William Coleman, both were investigations and prosecutions of illegal payments to a union official in violation of the Taft-Hartley Act. 

Represented an investment advisor to a $1.3 billion investment fund specializing in Russian investments in potential civil RICO action against a multinational energy company and several Russian enterprises. The claim was ultimately settled before filing of the complaint. 

Counseled the Audit Committee of an international energy company regarding Sarbanes-Oxley compliance issues 

Provided advice and counsel to the CFO of a small, publicly-traded company concerning Sarbanes-Oxley issues. 

Provided advice and counsel to the Chairman of the Board of a Pacific Northwest financial institution concerning an investigation by the Federal Home Loan Bank Board. 

Represented an investment adviser in an SEC investigation concerning alleged violations under registration requirements of the Investment Advisers Act. 

Represented a third party processor in a grand jury investigation concerning alleged violations of the money laundering and money transmitting business statutes. 

Represented a regional financial institution, its board of directors and certain officers and employees in an ongoing federal grand jury money laundering and BSA investigation and related regulatory matters. None of the individuals were criminally charged. 

Represented a digital currency issuer and related entities in a civil forfeiture proceeding. 

Represented a multi-billion bank in a grand jury investigation concerning allegations of fraud relating to a Department of Agriculture loan guarantee program. 

Counseled management of a multi-billion bank on handling severe bank regulatory issues, potential criminal investigation and a special committee investigation.

Served as counsel for the management of a public Midwestern financial institution in connection with investigations by a federal grand jury, several regulatory agencies and audit committee investigations. 

Represented a third-party processor in a DOJ civil investigation and an FTC investigation concerning misleading sales practices. 

Successfully prosecuted federal False Claims Act (qui tam) case involving fraud in obtaining United States Department of Housing and Urban Development (HUD) loans.
Represented sub-prime lenders in state Attorney General’s investigation, and negotiated agreement to refer state and consumer disputes to streamlined alternative dispute resolution process.
Counseled clients and investigated allegations of violations of the U.S. Foreign Corrupt Practices Act.

White Collar Criminal Defense/Internal Investigations - Conducted corporate internal investigations on behalf of audit committees of boards of directors of publicly-traded corporations and insurance companies.

Conducted internal investigations into employee misappropriation of funds, vendor fraud, insurance fraud and sexual harassment in industries ranging from health care to basic metals to broadcasting.
Defended member of the judiciary in judicial qualifications proceedings and related disqualification proceedings.
Defended researchers and physicians against allegations of scientific misconduct in connection with both basic science research and clinical trial research.
Conducted internal investigations of alleged theft/embezzlements in the metals, banking and health care industries.­
Represented specialty retailer indicted for possession of illegal electronic surveillance equipment.
Secured dismissal of a patient abuse and neglect indictment brought against the provider of juvenile residential treatment services.
Prosecuted federal False Claims Act cases on behalf of qui tam relators.­
Successfully conducted extensive internal investigation and ultimately recovered misappropriated funds for a large regional hospital.
Defended physicians and hospitals in state and federal health care fraud investigations.
Represented pharmaceutical executives in connection with pricing and off-label marketing investigations.
Represented health care providers in administrative hearings involving physician privileges disputes.
Served as a state and federal prosecutor, including several years as a member of the Department of Justice’s Bank Fraud Task Force.
Conducted internal investigation of cost report accounting fraud at large regional health care provider.
Defended a former bank president in proceedings initiated by the Office of Thrift Supervision.­ Successfully represented national bank in predatory lending investigation by the State Attorney General.
Represented target defendant in national commercial bribery prosecution and successfully negotiated a favorable plea agreement.
Represented provider of cellular telephone service in state Deceptive Trade Practices action.­
Defended pharmaceutical supplier in action brought by State Attorney General.
Represented pharmaceutical executives in connection with pricing and off-label marketing investigations.
Defended health care providers against state and federal health care fraud investigations.
Prosecuted civil rights and wrongful discharge claims against a nationally recognized research university on behalf of a research scientist wrongfully accused of scientific misconduct.
Represented clients in Department of Justice and State Attorney General investigations.
Articles
“Search Warrant Help Desk: Emergency Measures for Lawyer First-Responders,” The Circuit Rider, The Journal of the Seventh Circuit Bar Association (April 2016)Takeaways from Pennsylvania State Treasurer Extortion CaseEstablishing and Maintaining a Risk Management ProgramFrom Fort Lee to Bowling v. Office of Open RecordsRethinking Governmental Immunity in Pennsylvania313 Fights BlightSitting in Judgment
Presentations
Speaker, "Trial Academy – Themes and Theories," 2013, 2014, 2016, 2017, 2018, 2020Speaker, "Defending the Modern Drug Case," 12th Annual Seminar, National Association of Criminal Defense Lawyers, September 19, 2019Speaker, "Fee Agreements," Sexual Assault Conference, National Association of Criminal Defense Lawyers, 2019Speaker, "Fines, Forfeitures, and Restitution," White Collar Conference, National Association of Criminal Defense Lawyers, 2019Speaker, "White Collar Conference Getting Below the White Collar Sentencing Guidelines," 2017Presenter, "Bills that Became Law – 2017 Legislative – Criminal Update webinar, State Bar of Nevada, 2017Speaker, "Collateral Consequences for Drug Crimes," National Association of Criminal Defense Lawyers, 2016 WEBINAR: What To Do When The Government Comes KnockingPolitics, Professional Responsibility & Prison: How Lawyers Can Counsel Their Corporate Clients To Influence Government Officials And Participate Safely In The Political Process - Legal Intelligencer In-House Counsel CLE, October 22, 2015Speaker, "Defending the Modern Drug Case - Fees," National Association of Criminal Defense Lawyers, October 2015Speaker, "Defending the Modern Drug Case - Suppressing the Evidence," National Association of Criminal Defense Lawyers, September 2014 Speaker, White Collar Conference, National Association of Criminal Defense Lawyers, June 2014Speaker, "White Collar Roundtable Program," Association of Federal Defense Attorneys (AFDA), May 30, 2014Speaker, "Woman in the Law," State Bar of Nevada, January 2013Panel Moderator, "Civil rights panel," 2012Speaker, "Defending the Modern Drug Case – Collateral Consequences," National Association of Criminal Defense Lawyers, November 2011