Day Pitney has the resources, skills and experience to protect our clients' interests whenever they are confronted by a government or regulatory investigation, whether at the regional, national or international level. Our clients include Fortune 100 corporations, private companies, universities and individuals. In addition, we conduct prompt and conclusive internal investigations for our clients, and help them assess and strengthen their compliance programs and ethics plans to mitigate the risk of future problems.
Vigorous Defense of Criminal and Regulatory Probes
Members of our White Collar Defense and Investigations team include a former United States Attorney, former federal prosecutors from New York and Connecticut, and former state prosecutors from New York and New Jersey. That experience translates into valuable credibility with government authorities and regulators and real-world know-how that enables us to provide the practical guidance our clients need.
Day Pitney has defended hundreds of corporate clients and individuals in complex grand jury investigations, many of which involved parallel regulatory investigations and civil lawsuits. Our experience in this area is deep and diverse. For example, we have represented individuals and companies in connection with high-profile federal and state criminal and regulatory investigations involving alleged violations of the securities laws, health care laws, tax code, antitrust laws, environmental laws, political corruption, the Foreign Corrupt Practices Act (FCPA), the False Claims Act (FCA), economic and trade sanctions, and the Racketeer Influenced and Corrupt Organizations Act (RICO), among others. Likewise, we have effectively defended broker-dealers, funds, companies and individuals in investigations and enforcement actions by the U.S. Securities and Exchange Commission, the Financial Industry Regulatory Authority, the New York Stock Exchange, and state securities agencies and regulators.
Prompt and Thorough Internal InvestigationsWhen companies confront the specter of alleged misconduct or possible criminal activity, they engage Day Pitney to launch timely and thorough internal investigations. We have conducted investigations in many substantive areas, including, among others, corporate governance, insider trading, money laundering, financial reporting, bribery, embezzlement, environmental and accounting issues. We understand the pressures and practical problems investigations present, and know how to assist senior management and boards of directors in making sound decisions.
Prevention of Problems from the Start
When an investigation or compliance assessment reveals weaknesses in oversight or compliance practices, we offer guidance on improvements, training and other preventative measures. Based on the needs of individual clients, we have recommended solutions to specific weaknesses as well as comprehensive compliance programs, covering an array of topics from OSHA and environmental matters, to national security, to FCPA and sanctions matters.
Our experience in criminal and regulatory defense, combined with our strength in investigations and prevention, has resulted in our selection by the U.S. Department of Justice to serve as federal monitor of an international bank and our appointment to act as monitor of a large public healthcare company.
While the breadth of our experience in defending criminal and regulatory actions, conducting investigations and preventing future problems is extensive, we also focus on the areas below:
Day Pitney conducts prompt and diligent investigations of the claims and issues at play, and we offer advice and counsel to management, boards of directors, and board committees regarding what occurred and next steps. Our investigations routinely require the resolution of complex factual issues and involve local, national and, in some cases, international components.
The White Collar Defense and Investigations team provides comprehensive anti- corruption compliance advice as well as robust investigative and defense services for companies engaged in commercial activity abroad. The team also provides guidance to companies seeking to expand in foreign markets or partner with third parties to represent their interests abroad or seeking to acquire or merge with entities abroad.
The White Collar Defense and Investigations group is ready to help both companies and individuals in the healthcare field navigate the risks and, when necessary, defend them in criminal and regulatory inquiries.
Lawyers on the White Collar Defense and Investigations team, often working with experienced colleagues in the firm’s Corporate and Business Law group, have counseled numerous clients in connection with securities investigations and actions. We have represented companies and individuals in connection with all aspects of securities law enforcement, from litigation to complex investigations to preventive compliance
In addition to the specific areas of anti-corruption and sanctions, internal investigations, healthcare, and securities enforcement, lawyers on the White Collar Defense and Investigations team have also represented corporate clients and individuals in criminal actions of all types and natures. This work has included the vigorous defense of actions brought by the Department of Justice in Washington, D.C., many United States Attorneys’ Offices, and numerous state and local prosecutors.
In addition to our other areas of experience, our government enforcement and investigations lawyers have vigorously and successfully defended companies with respect to claims and investigations under the False Claims Act.
As substantial press in recent years has made clear, claims asserted and recoveries obtained under the False Claims Act have increased dramatically. According to the most recent report by the Department of Justice, well over $4.5 billion in settlements and judgments was recovered as a result of civil matters relating to fraud and false claims against the government in the last fiscal year alone. Much of the impetus for this growth relates to provisions of the False Claims Act that authorizes suits by whistleblowers, or qui tam plaintiffs, on behalf of the government and that impose mandatory damages and civil penalties. Likewise, government investigations, in connection with False Claims Act litigation and with criminal prohibitions on fraudulent claims on the United States, have become increasingly active.