We represent corporations and individuals in white-collar criminal matters, and we conduct timely and thorough internal investigations for companies that suspect wrongdoing. Our attorneys are experienced in helping clients navigate through the criminal justice system, including working with regulatory bodies involved in “parallel” investigations. We have represented clients in securities, environmental, health care, tax, and other areas. Our clients have ranged from large publicly and privately held corporations and partnerships to individual professionals. Our criminal defense and internal investigation practice focuses on the following areas:
Responding to a Crisis
Criminal matters often arise when you least expect them: an FBI agent arrives with a subpoena for corporate records, mid-level management employees are subpoenaed to testify before the grand jury, or you receive a call from a prosecutor announcing the existence of an investigation. Greene Espel will
- Contact the investigators and prosecutors to determine the nature of the investigation
- Work with in-house counsel, auditors, human resources personnel, senior executives, and public relations employees to organize an instant response
- Assemble a team of lawyers, paralegals, and investigators
- Interview employees involved in the matter
- Collect and review relevant documents
- Instruct employees on the next steps in the investigation and appropriate responses
When a crisis involving potential criminal issues arises, we will work with your executives and staff to respond on many levels, including:
- Managing potential public relations fallout
- Avoiding human resources problems relating to whistleblowers and other potential employment claims
- Working with regulators and other administrative bodies
- Keeping the board of directors informed and involved
Avoiding Criminal Charges
Often, the primary task in responding to a white collar criminal investigation is to avoid a criminal charge. Most of our clients are corporations and professionals with no prior experience in the criminal arena. For them, being charged with a crime inflicts most of the damage. The media tends to cover an indictment thoroughly, and often relegates a “not guilty” verdict to the back pages. In such instances, while the victory is sweet, it comes at a great price.
Our attorneys have the background, the experience, and the credibility with law enforcement officials to engage in a dialogue designed to avoid a criminal charge. We have successfully presented our clients’ cases to state and federal law enforcement officials and prosecutors and have resolved investigations with no criminal charges being filed.
Resolving “Parallel” Regulatory and Civil Cases
Companies and individuals faced with criminal investigations are also confronted with regulatory and civil cases based on the same set of facts. Our attorneys are experienced in navigating these "parallel" proceedings for our clients. For example, we recently handled state and federal regulatory investigations, a federal grand jury investigation, and a federal debarment proceeding on behalf of a client in an environmental matter. Ultimately, all regulatory, civil, and criminal matters were resolved.
We have experience working with the Minnesota Pollution Control Agency, the Environmental Protection Agency, the Securities and Exchange Commission, the Commodities Future Trading Commission, the Food and Drug Administration, and other regulatory bodies.
Conducting Internal Investigations
Clients have also called upon us to conduct a thorough and expeditious investigation of suspected wrongdoing. On occasion, such investigations have been necessary as part of a coordinated defense of a criminal inquiry. On other occasions, clients have requested both an investigation of the suspected wrongdoing and a recommendation as to whether the matter should be reported to law enforcement authorities. As former prosecutors and experienced litigators, our attorneys are well-positioned to draft an investigation plan suited to the matter at hand, and to execute the investigation in coordination with corporate in-house and audit staffs.
Recently, our attorneys have
- Defended an international oil refining firm in state and federal criminal and regulatory investigations
- Convinced state officials not to bring criminal or civil charges after the launch of a state criminal investigation into a national health care provider
- Represented a labor union official investigated for perjury
- Avoided having charges filed against the owner of a privately-held company investigated for price fixing
- Represented a high-level professional at a Minnesota health care provider investigated for fraud related to billing practices
- Defended an investor and entrepreneur charged with securities fraud relating to a series of initial public offerings
- Represented publicly-traded companies during federal criminal and related regulatory investigations when an officer and director was discovered to have engaged in insider trading in the companies’ stock
For more information, contact:
Andy Luger at 612.373.8348 or ALuger@GreeneEspel.com
David Wallace-Jackson at 612.373.8329 or DWallace-Jackson@GreeneEspel.com