White Collar, Government Investigations & Regulatory Compliance
Representing major corporations, officers, board members, executives and high-profile individuals, as well as municipalities and public agencies, we have repeatedly prevailed for clients in regulatory investigations and high-stakes white-collar cases.
An Exceptional Team
Our White-Collar, Government Investigations & Regulatory Compliance Practice Group includes former federal and state prosecutors, former members of public defender and attorney general offices, experienced trial and appellate lawyers, investigators, healthcare regulators and securities and compliance-focused lawyers. A team member was trial counsel for Pacific Gas & Electric Company in the first-ever prosecution under the Federal Pipeline Safety Act, and another was on Harvey Weinstein’s legal team.
Many of our attorneys have experience working for the same agencies investigating cases and bringing enforcement actions against our clients, including the founding head of the FBI’s computer crime and infrastructure protection program, Associate Deputy Attorney General for national security matters in the Department of Justice and Special Counsel in the Office of General Counsel at the Department of Defense, and a former chief of drug prosecution for an Illinois county. As a result, we understand the government's perspective, how regulators think and how they build cases, and we have the connections and credibility to guide clients successfully through every phase of a government investigation or inquiry.
Our team has handled many high-stakes, highly sensitive investigations for corporations, public agencies and sports franchises. We excel at anticipating government strategies and tactics, preparing and presenting compelling arguments, and minimizing the legal, financial and reputational risks to our clients.
Experienced, efficient and tenacious, we also aggressively represent foreign and U.S. companies and individuals facing U.S. and cross-border government inquiries and investigations, and we vigorously defend them in civil and criminal white-collar regulatory actions and litigation across the nation and abroad. Often, however, our best outcomes involve resolving matters before they are prosecuted or concluding investigations in a finding of no wrongdoing.
Regulatory Compliance and Risk Avoidance Counsel
With a focus on prevention first, our lawyers provide sound, proactive advice to clients based on a clear understanding of their industry, business practices, vulnerabilities, challenges and threats. Leveraging our extensive legal and investigatory knowledge and experience, we help our clients develop and implement effective, compliant business policies and protocols to avoid problems and guide them in responding to subpoenas, audit letters, records requests and civil investigative demands. Clients also rely on us to conduct internal investigations into alleged wrongdoing in response to government inquiries, negative press and whistleblower assertions.
Strong and Effective Defense Whenever and Wherever Needed
As litigators and practical problem-solvers, we have an impressive record in favorably resolving matters and stand ready and adept to defend our clients in litigation. When defending individuals, we combine deep knowledge of the law and all relevant government entities with a keen sensitivity to the unique stresses associated with criminal inquiry and excel in developing defense strategies that minimize the impact of litigation on our clients’ business realities.
Our Experience
Guiding clients at every stage, our experience includes advising and representing clients regarding:
- Bribery and corruption allegations, including alleged violations of the Foreign Corrupt Practices Act (FCPA) and related issues
- Federal and state civil and criminal Racketeer Influenced and Corrupt Organizations Act (RICO) claims
- Healthcare fraud allegations, including alleged violations of the Anti-Kickback and the Stark Law statutes and Medicare fraud
- False Claims Act (FCA) and qui tam/whistleblower litigation
- Federal and state securities law violations and securities enforcement actions
- Securities and commodities fraud, including insider trading and market manipulation claims
- Tax and other financial fraud allegations
- Bank Secrecy Act and anti-money laundering violations
- National security, export control and international trade controls investigations and compliance matters
- Internal investigations into suspected wrongdoing, including board improprieties, media reports of wrongdoing, whistleblower allegations or grand jury or administrative subpoenas
- Data privacy breaches and enforcement-related issues
- Discrimination, sexual harassment and other types of alleged misconduct
- Corporate governance-related matters
- Crisis management
- Grand jury and administrative subpoena responses
We regularly defend clients in actions brought by government agencies including the DOJ, SEC, CFPB, CFTC, DEA, ATF, FTC, DoD, DHS, state and local regulatory agencies, boards, organizations and state attorneys general.
Monitorships
Additionally, frequently we are retained for monitorships, trusteeships, special master roles and similar positions of trust following the resolution of serious government enforcement actions, including securities fraud, healthcare fraud and FCPA matters.
Experience
- Represented a consumer products company in an internal investigation regarding allegations of racial bias and a hostile work environment involving a human resources manager. Benesch reviewed all internal communications, interviewed company personnel and provided a detailed investigative report with factual findings and proposed remedial actions.
- Represented a professional basketball player accused of conspiracy and wire fraud for allegedly attempting to avoid paying child support and taxes for several years. The government claimed that the pro athlete "unlawfully, voluntarily, intentionally and knowingly" conspired to defraud the U.S. by falsely underreporting his income and sought prison time for the athlete. Benesch defended the athlete, securing a probationary period and avoiding prison time for the client.
- Represented a member of the leadership team at a public Big 10 state university in a dispute involving allegations that the dean of the business school was improperly removed from his position after failing to mandatory report allegations of staff improper behavior, in violation of Title IX. The parties reached a settlement favorable to our client.
- Represented multinational, publicly-traded energy company in anti-corruption risk assessment and revision to FCPA and related anti-corruption policies, procedures, and controls.*
- Currently defending a private nursing home and its owner in an expedited special proceeding and appeal brought by the New York Attorney General, which seeks $40 million in fines and penalties and unprecedented injunctive relief for alleged violations of Executive Law § 63(12).
- Obtained restraining order preventing the FDA from blocking the importation of electronic cigarettes, ruling upheld on appeal.*
- Represented company alleged to have participated in a RICO conspiracy to defraud government purchasers.*
- Represented company in civil litigation against its former employee for breach of duty of loyalty and theft of trade secrets in federal jury trial, winning verdict.*
- Represented global jewelry retailer in review and assessment of its anti-money laundering compliance program.*
- Won punitive damage award against competitor of client for tortiously interfering with the client’s employees.*
- Won willful damage jury award on behalf of global media licensing company for willful infringement of its copyrights.*
- Conducted internal investigation on behalf of a financial institution relating to alleged kickbacks paid to politicians and public officials in connection with the sale of securities to public pension funds.*
- Defended corporate executive charged with conspiracy to commit mail fraud, theft of government property, and extortion in nine-day federal trial.*
- Defended managing director of global investment bank from allegations of unsafe and unsound banking practices and FCPA violations in proceedings before the Federal Reserve Board of Governors.*
- Defended scientist indicted for violations of the Economic Espionage Act alleging the theft of trade secrets for the benefit of a foreign power.*
- Defended Taiwanese national against possible FCPA violations relating to Asian banking industry investigation by the DOJ and SEC.*
- Investigated possible insider trading scheme by executive of a publicly-traded company prior to a privatization deal from a private equity fund.*
- Represented company in an internal investigation into possible anti-corruption violations in connection with the construction of a public works project.*
- Represented financial institution in internal investigation regarding allegations of false statements made in connection with the sale of securities.*
- Represented foreign executive in connection with inquiry relating to alleged violations of CFIUS agreement.*
- Represented foreign national and investment bank executive in connection with possible Foreign Corrupt Practices Act violations in China.*
- Represented members of the Amish community in winning a reversal at the Court of Appeals for their convictions under the Hate Crimes Prevention Action, which was the first case brought under the statute for religiously-motivated violence.*
- Represented private equity fund in conducting diligence relating to acquisition of water treatment company with sales in South and Central America and Russia.*
- Represented subsidiary of a publicly-traded, multinational company in anti-corruption due diligence investigation relating to the acquisition of a company with operations in more than 70 countries, including Africa, Asia, Russia, and South America.*
- Represented telecommunications company before the DOJ and SEC in connection with alleged Foreign Corrupt Practices Act violations in Africa and Southeast Asia.*
- Won acquittal for charges of conspiracy to commit bribery in a federal program, wire fraud, and conspiracy to commit honest services fraud (only defendant acquitted among more than 60+ politicians and public officials charged).*
- Represented broker-dealer in FINRA investigation and enforcement proceedings alleging false statements made in connection with the sale of securities.*
- Represented the Board of Directors in one of the largest RICO investigations in U.S. history in the energy sector, resulting in a deferred prosecution agreement with the Government.
- Represented pharmaceutical sales representative in large DOJ and HHS investigation into kickback scheme initiated by a Qui Tam relator.
- Member of legal team that represented the largest broker-dealer liquidation in U.S. history.
- Successfully tried criminal insider trading case in the United States District Court for the Northern District of Illinois. After extensive briefing, the Court granted Rule 29 and Rule 33 acquittals in an oral ruling.
- Secured probation for internal medicine physician accused of fraudulently billing Medicare and insurance companies over $3 million.*
- False Claims Act Defense: Defended nursing home conglomerate in federal False Claims Act investigation regarding allegations of “worthless care” by nursing home staff; Defended home health care agency against civil and criminal allegations of false billing.*
- Healthcare Fraud: Defended podiatrist and related company accused of committing over $70 million in Medicare fraud by creating and implementing a computerized medical records system that automatically qualified all medical treatments for Medicare coverage.*
- Healthcare Fraud: Served as lead appellate attorney in United States v. Borassi, the Seventh Circuit’s leading case on the applicability of the safe harbor provision of the anti-kickback provision of the Medicare Fraud Statute.*
- Ethics: Represented two attorneys, one charged with criminal contempt and the other facing disbarment from bankruptcy court.*
- Securities Fraud: Represented financial advisor in SEC 10b5 investigation; Managed team representing multinational bank being investigated by SEC for improperly writing off loans.*
- Trials: Conducted 20 jury trials to verdict.*
- Internal and Governmental Investigations: Conducted investigations for Fortune 500 companies regarding: (1) $7 million accounting fraud that occurred during a merger; (2) theft of over $100 million by a CEO; (3) criminal theft of trade secrets, and (4) FCPA violations in Indonesia. Conducted extensive internal investigation for company regarding potential employee theft of competitor’s trade secrets; Conducted internal investigation based on SEC order regarding SEC’s allegations that multi-national bank impermissibly failed to write-off loans on bank’s financial statements; Conducted internal investigation of Chinese company accused of violations of the Economic Espionage Act.*
- Fraud: Investigated and tried a 15-defendant, $3 million corporate check fraud scheme involving the creation of fake entities at the Illinois Secretary of State for the purpose of depositing and cashing large denomination corporate checks at various commercial banks.*
- Civil Litigation: Successfully defended Illinois’s largest Medicaid provider in fraud investigation and secured restraining order against State of Illinois preventing State from withholding Medicaid funds from provider.*
- Public Investigations: Defended two City of Chicago employees in Office of the Inspector General investigation into environmental malfeasance; Defended multiple corporations in OIG investigations into alleged WBE and MBE fraud.*
- Civil Litigation: Handled several multi-million dollar civil suits in federal court on various subject matters, including: construction defects, civil RICO, common law fraud, breach of contract, and civil rights.*
- Federal Criminal Defense: Defended multiple federal criminal cases including: healthcare fraud, mortgage fraud, and federal program bribery; DefendedHead of Sales of Fortune 500 company against allegations that he paid bribes to Chicago-area politicians;Defended Chicago Alderman Willie B. Cochran in federal bribery charges.*
- Civil Litigation: Represented School Superintendent in contract termination proceedings in front of school board and circuit court.*
- False Claims Act Prosecution: Investigated allegations that private special education contractor filed false claims alleging that company completed services not provided.*
- Securities Fraud: Tried and secured a securities fraud conviction against a defendant who fraudulently advertised the type of securities in which he intended to invest customer money and instead ran investment accounts in a manner similar to a Ponzi scheme.*
- Fraud: Investigated and tried a 16-defendant, $3 million identity theft scheme involving employees of major commercial banks compromising customers’ bank accounts and other identifying information.*
-
Civil Litigation: Defended international union in federal civil suit alleging impermissible “secondary boycotting.”*
- Design and implementation of preventive policies and procedures to manage likely government inquiries, audits, and investigations for highly regulated business.
- Management of internal investigation to evaluate potential need for self-disclosure and evaluation of potential False Claims Act liability.
- Represented individual unit owners in obtaining temporary restraining order (“TRO”) and successfully mediated dispute involving fiduciary duty of condominium building Board of Directors.
- Represented equity ownership in self-disclosure to Office of Inspector General related to submission of claims to government in violation of regulatory standards
- Successful management of investigation into alleged conduct of executive resulting in declination of any charges (resulting in indictment of six other individuals);
- Represented multiple business in government audits and OIG investigations seeking recoupment of government issued funds.
- Represented business owner in response to grand jury subpoena and in presentation of testimony relevant to establishment of industry standards
- Negotiation of successful cooperation agreement and related resolution of criminal and administrative charges for Owner/CEO.
- Represented long-term care facility in legal challenge to Centers for Medicare and Medicaid Services (“CMS”) five-star rating system including conduct of oral arguments in the Seventh Circuit, Bryn Mawr v. Sebelius, 749 F.3d 592 (2014)
- Represented national professional association in drafting of multiple amicus briefs in state, federal, and U.S. Supreme Court related to government oversight.
- Represented long-term care pharmacy in DEA audits and compliance investigations.
- Represented multinational corporate in responding to subpoena from federal bureau of investigations seeking production of international documentation regarding alleged conduct of former employee
- Represented business in multiple-year government investigation in response to seizure of paper documents and enterprise computer systems resulting in no charges being filed and effecting return of all seized records and materials.
- Represented CEO/owner related to criminal charges alleging regulatory violations and submission of false claims.
- Testified in murder trial, as outside general counsel, on behalf of institutional client requested to produce documentation and establish foundation before jury.
- Represented corporation in False Claims Act litigation alleging systematic submission of billing to government below established regulatory standards
- Represented CEO of business facing allegations of violating Anti-kickback statute and submission of fraudulent bills to government
- Represented wholesale distributor in DEA seizure action and filed writ of mandamus resulting in DEA returning millions of dollars of active pharmaceutical ingredients.
- Represented CEO in appearance before government investigative body
- Management of government audit/investigation into industry leader following successful self-disclosure of regulatory error.
- Represented business owners challenging sufficiency of regulatory decision, resulting in reversal and issuance of landmark decision by Appellate Court, Medina Nursing Ctr, Inc. v. Health Facilities & Servs. Review Bd., 2013 IL App (4th) 120554 (2013)
- Represented physician at sentencing hearing facing various criminal charges, ultimately obtaining sentence of probation, including recommendation from federal judge that physician be allowed to retain license to practice medicine.
- Coordinated responses to Civil Investigative Demands from U.S. Attorney’s Offices for technology, finance, health care, construction and other companies.
- Investigated accounting irregularities allegations for high-profile healthcare technology company.*
- Defended advertising firm alleged to have participated in a RICO conspiracy relating to the embezzlement of over $15 million by its client’s Chief Marketing Officer.
- Defended commercial financing company against RICO claims alleging fraud and racketeering in connection with its lending practices.*
- Represented criminal defendant in RICO prosecution alleging a conspiracy to pay bribes and kickbacks in exchange for the receipt of government funding and contracts.*
