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Government Enforcement & Internal Investigations

Business is regulated by a complex web of federal and state laws and regulations.

As a result, conducting internal investigations and managing corporate compliance are facts of life for even the most reputable businesses. Ice Miller attorneys have substantial experience representing clients who, often without warning, have learned of serious allegations against the company, necessitating immediate, thorough, accurate, and complex answers. We and our clients are prepared to respond.
Effective crisis management often requires a combination of deliberate planning and immediate action. Our practice is premised upon a multi-disciplinary approach that equips clients with the necessary tools to resolve the broad array of issues that are often associated with such allegations, inquiries and investigations, including public relations, corporate governance, and employment.

Our lawyers understand the complexities of governmental and internal investigations, as many have prior experience working for and with federal and state governmental agencies. This experience is critical to assisting our clients in understanding the various stages of a government investigation and developing a strategy to achieve the most favorable result.
We have conducted internal investigations for our clients on a wide range of issues, and we understand the complexities and sensitivities that can be involved. Ice Miller is prepared to help your business discreetly, yet thoroughly, analyze and address any regulatory or investigatory question, understand what has occurred, determine how to address the situation, and take whatever remedial actions may be necessary. We also work with our clients to create and build internal monitoring programs, improve and expand existing systems, and help provide training and assessments to reduce the risk of future government enforcement actions.

Representative Experience

Represented the audit committees of two large public companies in connection with confidential internal investigations.

Represent Japanese automobile parts supplier in connection with a Department of Justice criminal antitrust investigation.
Represented former CFO of a public company in a confidential SEC investigation.

Represented issuer of securities during confidential investigations being conducted by the Securities and Exchange Commission and the Ohio Division of Securities. No action taken.

Represented Wirehouse Broker Dealer in confidential Ohio Division of Securities Investigation into the sale of auction rate securities. No action taken.

Represented Wirehouse Broker in Ohio Division of Securities Investigation and denial of license.  Client prevailed following an administrative trial and was awarded a securities license.

Defended ready-mixed concrete company in criminal antitrust  investigation and related civil and administrative matters.

Defended consumer products company in post-consummation merger investigation.

Defended senior living company in state antitrust investigation.

Represented corporate officials and employees in Clean Water Act and Clean Air Act criminal actions.

Represented a large public entity throughout a 3-year Clean Water Act criminal investigation. Conducted an internal investigation of the allegations and prepared detailed written submissions to the government concerning client’s defenses.

Represented pharmacist throughout a 3-year state and federal Medicaid fraud investigation. No charges were filed against client.

Secured dismissal of indictment charging an employee of a large retailer with multiple violations of Ohio's hazardous waste laws.

Successfully represented physician under investigation for allegedly sexually abusing a patient.

Successfully represented a health care provider throughout a 3-year insurance and workers' compensation fraud investigation.  No charges were ever filed against client.  Negotiated a favorable administrative settlement of the alleged overpayment. 

Henkel v. Aschinger, et al., 167 Ohio Misc.2d 4, 2012-Ohio-423.  Shareholder derivative action initiated following announcement of merger.  The Court dismissed the shareholders’ claims in their entirety and the transaction closed as negotiated.

Represented hedge fund investors against issuer and executive of hedge fund alleging securities fraud, common law fraud, breach of contract, and other common law claims.

Represented hedge fund investors in fraudulent conveyance claims against entities and individuals who were the recipients of fraudulent conveyances from the hedge fund.

Represented registered representative and investment advisor representative in connection with Ohio Division of Securities enforcement action.  Matter tried before an administrative hearing officer and awaiting decision. 

In Re National Century Financial Enterprises, Inc. Litigation:  Defended former outside legal counsel in a $2.5 billion securities fraud action regarding an Ohio healthcare finance company.  The client was dismissed from the litigation upon the Court’s granting of our motion to dismiss.  This litigation was a complex MDL matter and represented the largest non-public securities fraud in the United States prior to the Madoff investigation.

Represented individual in an Ohio Division of Securities and SEC investigation involving the alleged sale of interests in real estate investments.  No action taken.

Represented private Ohio real estate company and its founders in an enforcement investigation by the Ohio Division of Securities.  No action taken.

In Re Joanne Schneider Securities Litigation:  Served as receiver in a $60 million securities fraud case initiated by the Ohio Division of Securities, managing a large and diverse business enterprise and liquidated more than $30 Million in assets for the benefit of creditors.

Defended individuals against insider trading allegations by the Securities and Exchange Commission and the U.S. Department of Justice.  Settled.

Defended individual against market manipulation allegations by the Commodity Futures Trading Commission and U.S. Department of Justice.  Settled.

Represented former CFO of HA-LO in securities fraud class action filed by Milberg Weiss alleging defendants made materially false statements and omissions with respect to performance of company and regarding acquisition made by company. Case settled.

Represented Racing Champions (n/k/a RC2 Corporation (NASDAQ: RCRC)) and its officers in securities fraud class action filed by Milberg Weiss alleging defendants made materially false statements and omissions. Negotiated favorable settlement for defendants.

Represented Sprint Corporation in an investigation and litigation led by the Illinois Attorney General and joined by 22 other State Attorney Generals and the District of Columbia alleging that Sprint’s advertising for long distance rates was deceptive and violated state consumer protection acts. Successfully negotiated a settlement in the form of an Assurance of Voluntary Compliance with the 23 states and the District of Columbia to resolve the dispute.

Represented Trans Union in investigation and litigation by working group of 17 State Attorney Generals led by Illinois Attorney General’s Office regarding accuracy of credit reports. The Attorney Generals of 17 states filed suit against Trans Union alleging that it violated the Fair Credit Reporting Act by failing to maintain procedures to keep accurate credit reports. Was instrumental in negotiating a settlement and consent judgment with the Attorney Generals of 17 states to resolve the case for Trans Union. The consent judgment provided for free annual credit reports and was the genesis of this policy which remains in effect today.

Served as lead counsel on Crisis Management Team for a national food service enterprise involved in food borne illness outbreak, which representation included the successful defense of injury and wrongful death claims.

Assisted warehousing operation in successfully resolving joint investigation by OSHA and Wage & Hour over alleged wage and hour, as well as noise and other safety violations involving students on visas allowing them to work in US.

Handled and successfully resolved DOJ criminal and civil investigations and multi-state Attorney General investigations related to pharmaceutical sales and marketing practices.

Provided legal counsel and advice related to the creation of, improvements to and implementation of the global compliance program for a Fortune 100 Company.

Negotiated and provided legal counsel related to compliance with and implementation of a Corporate Integrity Agreement with the federal government.

Assisted medical device company in responding to FDA Warning Letter related to product manufacturing.

Provided legal counseling on aspects of global compliance programs, including anti-corruption, cyber-security, FCPA, privacy, regulatory compliance, Sarbanes Oxley, Dodd Frank, and Federal False Claims Act.

Had a leadership role in defense of multi-jurisdictional FCPA investigation.

Represented a company in an antitrust investigation by the Indiana AG regarding an acquisition of a local television franchise, and federal antitrust investigations in a variety of industries including ready mix concrete, commercial laundry services, and automotive parts.
Defended national retailer against state Attorney General claims of deceptive advertising and unfair competition. 
Represented gaming client in state and federal regulatory investigations regarding the successful acquisition of another gaming company. 
Represented an energy trader in an investigation conducted by the Commodities Futures Trading Commission (CFTC).
Counsel to  a large metropolitan convention and visitors’ bureau regarding an internal investigation of its Executive Director.
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