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White Collar Defense & Investigations

Government investigations can stretch from the boardroom to the courtroom, touching every aspect of your business along the way. When you or your company is confronted with potential government enforcement action, you need a team with experienced practitioners who will react quickly and decisively to protect your interests.
 

Obtaining the Best Outcome
Ice Miller’s White Collar Defense & Investigations Group represents individuals, companies, board committees and others in all stages of white collar defense, including government investigations, complex cross-border matters, internal investigations, government enforcement actions and related qui tam litigation (e.g., False Claims Act lawsuits), compliance and risk assessment counseling, trial defense and appeals.

Our team includes former federal prosecutors, including the former Chief of the Eastern District of Virginia’s Financial Crimes & Public Corruption Unit, a former SEC Division of Enforcement attorney, a former Federal Bureau of Investigation supervisory special agent and Indianapolis Division general counsel, and the former Director of Enforcement for the Ohio Division of Securities. All are seasoned defense lawyers with extensive investigative, trial and appellate experience in a broad range of white collar matters. We regularly work with our antitrust, corporate governance, environmental, government contracts, health care, securities and tax lawyers to provide a comprehensive approach to the issues facing our clients.

We work vigorously to achieve the best outcome, whether by taking the case to trial or quietly negotiating a resolution that protects your reputation.
 
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. Our lawyers are prepared to respond.

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 also work with our clients to create and build corporate ethics and compliance and training programs intended to decrease the risk of an enforcement action and to assess and advise on the risk of operating in different business sectors and internationally.
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Our White Collar Defense & Investigations attorneys handle a wide range of substantive areas, including:
 
  • Antitrust Violations
  • Corporate Fraud
  • Cross-Border Investigations
  • Environmental Compliance
  • Export Controls/International Sanctions
  • Foreign Corrupt Practices Act and Anti-Corruption
  • Government Contracts Fraud
  • Health Care Fraud and Abuse
  • Money Laundering Violations and Currency Structuring
  • Securities and Financial Fraud
  • Tax Offenses

Representative Experience

  • Obtained dismissal of all charges brought by a state prosecutor against a physician alleging improper prescribing of buprenorphine; charges included delivery of controlled substances and Indiana’s Corrupt Business Influence (Indiana RICO) statute.
  • Conducted acquisition due diligence on corporate target and post-closing diligence for a Fortune 500 oil services company.
  • Defended former registered representative and investment adviser representative in response to an SEC and Department of Justice investigation into alleged violations of Section 10 of the '34 Act.
  • Designed and implemented a global compliance program for an international shipping company to address FCPA, UKBA and OFAC compliance and trained their board and all employees.
  • Advised various non-US companies on the implications of secondary OFAC sanctions on activities in Russia/Crimea, Venezuela and the Middle East.
  • Conducted a due diligence review for a Russian telecommunications company in connection with planned acquisition of telecommunications company.
  • Represented educational institutions in civil and criminal litigation arising out of law enforcement activity involving students, faculty and staff.
  • Defended a public company officer against insider trading allegations by the Securities and Exchange Commission and the U.S. Department of Justice.
  • Represented numerous health care individual providers, hospitals, practice groups and consultants in federal and state investigative matters including criminal investigations, civil monetary penalties, professional licensure, suspension of payments, and exclusion.
  • Defended an auto parts supplier in connection with Department of Justice antitrust investigation and prosecution.
  • Conducted comprehensive review of technology at all U.S. facilities to assess compliance with U.S. technology “deemed export” controls for a large U.S. chemicals company.
  • Defended an individual against market manipulation allegations by the Commodity Futures Trading Commission and U.S. Department of Justice.
  • Consulted a Fortune 1000 company on enhancements to global anticorruption policies and procedures and training programs.
  • Defended a former outside legal counsel in a $2.5 billion securities fraud investigation by federal prosecutors of an Ohio healthcare finance company.
  • Conducted multiple parallel internal investigations and risk assessments relating to FCPA compliance, among the locations involved are Myanmar/Burma, Brunei, Chad, Saudi Arabia, Equatorial Guinea, Angola, Singapore, China, Russia, the UAE, Thailand, Malaysia, Mexico, Iraq, Egypt, Colombia and the UK for a Fortune 100 Energy Company.
  • Advised on compliance with Crimea and Ukraine sanctions for international energy companies.
  • Counseled a Middle Eastern group holding company on compliance with OFAC, Iran and Syria sanctions.
  • Conducted FCPA internal investigation for public company with operations in Mexico. Completed review of client’s anti-corruption program and training.
  • Designed and implemented a multi-year global risk assessment for an International Oil Services Company to mitigate FCPA, OFAC and data privacy risks.
  • Obtained dismissal of all charges brought by a state prosecutor against a physician alleging improper prescribing of buprenorphine; charges included delivery of controlled substances and Indiana’s Corrupt Business Influence (Indiana RICO) statute.
  • Counseled non-US Business Executives on compliance with OFAC secondary sanctions involving several blocked entities and SDNs.
  • Regularly developed and oversaw implementation of global export control and sanctions compliance programs for various multinational companies.
  • Conducted a rapid turnaround internal investigation for a public company involving allegations around fraud and corruption in India and the Middle East.
  • Represented a corporate manager charged with making false statements to state and local environmental officials about the discharge of industrial wastewater from a manufacturing facility.
  • Represented national health care drug and device manufacturers in investigations and litigation concerning Medicare, Medicaid, and private insurance billing disputes.
  • Conducted a year-long internal investigation in Ecuador and Western Europe involving corruption and public procurement fraud for a Fortune 100 Technology Company.
  • Drafted anticorruption policies and associated procedures and provided training to board, senior management and sales teams.
  • Conducted an internal investigation in Colombia involving corrupt hiring practices and government officials for a Fortune 100 Company.
  • Conducted comprehensive audit of export controls and sanctions compliance programs for international oilfield services company in connection with U.S. government investigation.
  • Represented manufacturers and suppliers in various industries in antitrust investigations.
  • Represented an environmental manager accused of falsifying reports to Ohio EPA.
  • Defended the owner of a tactical products company in a criminal false claims case.
  • Defended an attorney in a criminal money laundering prosecution.
  • Defended the president of an aviation maintenance and repair company in a criminal FCPA case.

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